make an announcement to clients in compliance with the following rules: (1) the announcement of such closure shall be explicitly posted at the placement of branch office in order to be publicly known at
publicly known at least 30 days before closing date unless the SEC Office exempts for such period of announcement; (2) the announcement under sub clause (1) shall provide details regarding channels to
publicly known at least 30 days before closing date unless the SEC Office exempts for such period of announcement; (2) the announcement under sub clause (1) shall provide details regarding channels to
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or (2) contains the client’s name
-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or