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
termination of contract, as the case may be, in the form as specified by the Office in advance. Clause 9. In purchasing investment units under clause 8(3), mutual fund management company shall operate with
analysis in securities through mass media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
any group of shareholders, which will create an advantage over other shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be able to protect shareholders
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3