lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1
, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by