purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8
to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
shall retain office for the remaining duration of the full term of the Chairman or commissioner whom he replaces. ( During the period when no appointment of the Chairman or a commissioner of the SEC has
result from the operation of an infrastructure business or the operation of any other assets acquired through the operation of an infrastructure business; (d) the right of claim in a sales and purchase or
” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
, executive, auditor, spouse or cohabiting couple and minor child of such persons such as: - family members, e.g., father, mother, brother or sister of full blood, brother or sister of half-blood, grandfather