the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your

which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities

solution first. (2) finalize the number of solvable and unsolvable complaints by category and inform the SEC Office for acknowledgement, on a quarterly basis, within fifteen days from the end of a quarter

issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to

securities borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. Clause

financial position as specified under Clause 4 (1), the custodian shall notify to the Office and client within the day following the date of acknowledgement that the financial position cannot be maintained

to ensure that the acknowledgement of information is accurate and not misleading. Clause 19. To protect the interest of investors with regards to the information presented to them, the Office may order

advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate

13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat