[i] using historical price and trading volume of capital market product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity
knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The
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
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify