to provide services involving investment or transaction in consistency with risk tolerance of a client unless the client is as follows, such suitability may be whether assessed or not: (1) an
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
under management of the same management company which is prohibited in accordance with section 126(3); Engaging into transaction under paragraph one, management company shall provide documents and
enter into a transaction for a client with the intermediary itself or a connected person in accordance with Clause 22 of the Notification on Standard Conduct of Business , the intermediary shall provide
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
received information as prescribed in Clause 31 in order to provide services involving investment or transaction in consistent with the risk tolerance of clients unless the provision of services to the
held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the