client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify
transaction of each client. Clause 12/1 67 In providing services as a derivatives dealer to a client who is a juristic person as prescribed in Clause 6(2), the derivatives dealer shall engage in a derivatives
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does not violate or fail to comply with the
company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does
. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities