exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
therefrom. "securities dealing" means a purchase, sale or exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business
Practices ______________________ SECTION 238 The provisions under this Division shall apply to listed securities and securities traded in the over-the-counter center. SECTION 239 In this Division: “executive
-counter centre, organization related to securities business, derivatives business, derivatives trading centre, derivatives clearing house, derivatives regulatory association or any other companies which are
listed in the Securities Exchange or traded in an over- the-counter centre, who performs audit work in order to give his opinion on financial statements which does not comply with the provisions of the law
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in