account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive
shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive or materially mislead the clients. 8 Clause 30 The derivatives broker shall put in
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3
limit in equities or alternative assets, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund invests mainly in equities, the risk spectrum should
. ▪ Investors who expect returns from investment in such alternative assets. Investors who seek stable returns or capital protection. 7. Benchmarks Display the benchmarks in accordance with the Notification of
to be deemed that the trustee has already performed in accordance with the authority and duty; (3) trustee or registrar of units has the right to refuse to display names in the register of the
. Medium-high risk 5 ▪ has a net exposure in equities, fixed income, or alternative assets. ▪ In case of CIS without specifying its investment limit in equities, the risk level should be in accordance with