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
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
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
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
company to exercise the right to vote should have knowledge and understanding of the subject to be voted. (b) Factors that should be contemplated in making a decision in voting e.g. advantage and
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
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
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
Management Connect Scheme on 29 June 2020, which aims to provide investors in the Greater Bay Area (“GBA”) – consisting of Guangdong, Hong Kong, and Macau – a mutual access to investment products available