concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the management company’s responsibility, or intentionally making false statements
, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of material facts or
) For example, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of
information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third
mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification
of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification of the Securities and Exchange Commission No
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements
from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements or conceal the truth that should be disclosed which cause
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