that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause
Schemes to Non-retail Investors, with authority to impose sanction to or order the CIS operator of such ASEAN collective investment scheme to act or refrain from acting in case where the action may cause
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
shall have power to order the investment advisory company to act, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered
include therein excessive transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
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
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except