the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
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
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
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
offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
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
) not having a demeanor of unfair act or taking advantage of investors on trading or investing in capital market product , or participating in or supporting such acts performed by other persons. Clause 24
participated or supported such act of other person; (4) there are reasonable grounds to believe that his or her behavior inclines to be or has inclined to be an unfair practice or taking advantage of the
other cases, such transactions shall have the following particulars: (1) Being transaction with the best execution for fund; (2) Being a necessity and advantage transaction for fund; (3) Being an at arm’s