person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation

all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the above mentioned company. Date of the incident

or having been an executive of the ………… Company who was considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the

Exchange Commission. Clause 2. A securities company may sell securities that are not in its possession only in the following cases: (1) short sale for the securities company itself or pursuant to the

entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is

Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to