, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the
aiding or abetting thereof; (b) an offence regarding documents or accounts such as falsifying documents, using or referring to falsified documents, informing the competent officer to record false
) an offence regarding documents or accounts such as falsifying documents, using or referring to falsified documents, informing the competent officer to record false statements in documents, or aiding or
displaying information in accordance with the following criteria: (1) using language that is easily understood; (2) not displaying language or information that is false, exaggerated, misleading or may cause
shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive or materially mislead the clients. 8 Clause 30 The derivatives broker shall put in
registration statement. If the registration statement contains any false statement or omits to state any material information which should have been disclosed, the unit holders shall be entitled to claim damages
compliance with the process stipulated under (1), (2) and (3) by the intermediary; (b) rectifying or taking any action if the communication and provision of services is found to be inconsistent with the
and completeness of information contained in the registration statement. If the registration statement contains any false statement or omits to state any material information which should have been