Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
other countries in the manner of price-dumping and unfair trade and finally will lead to the enforcement of Anti-Dumping or Safeguard measures. The world steel production capacity utilization ratio of the
involves in or has an interest, whether directly or indirectly, in such mutual fund or management company in a manner that may cause unfair, non-impartial and non-independent in arranging the mutual fund
- person and such transaction is in the manner of unfair treatment to the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform
(Translation) - 4 - person and such transaction is in the manner of unfair treatment to the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management
company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
and their securities which may have a material effect on the price of an Investee Company’s securities. 1.3.4 Prevention of unfair securities trading practices in violation of applicable laws and