name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
units and personnel who have an opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information . Clause 6 A
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
consultant type 1 is able to provide consultation on all classes of capital market product having high-risk or complex characteristics ; (b) complex instrument investment consultant type 2 is able to provide
information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily