complied with requirements in this Notification. Clause 4. Securities company shall not be allowed to provide trading service for units of foreign collective investment scheme except where the following
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
requirements under this Notification. Clause 6 A securities company shall provide services related to selling, repurchasing and redeeming units of foreign collective investment scheme only on the approved list
that a securities company has already complied with the requirements under this Notification. Clause 5 A securities company shall provide service of selling, repurchasing and redeeming units of foreign
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
53 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following