derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for
intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services acknowledges and
Government Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed. (8) “Stock Exchange” means the Stock
common person group to sell the units held in excess of Clause 26, Clause 27 and Clause 28, as the case may be. Clause 33 The management company shall undertake as necessary to ensure that the foreign
the securities under Paragraph 1 not on behalf of the financial advisor, such person shall not work in the financial advisory unit whereas the financial advisor shall ensure that the person complies
_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses