Prohibited Market Conduct

Prohibited Market Conduct

All customers need to be aware that certain market conduct are prohibited under the Securities and Futures Acts (“SFA”). Relevant prohibited market conduct are set out below:

SFA S197 False trading and market rigging transactions

SFA S198 Securities market manipulation

SFA S199 False or misleading statements, etc

SFA S200 Fraudulently inducing persons to deal in securities

SFA S201 Employment of manipulative and deceptive devices

SFA S202 Dissemination of information about illegal transactions

For detailed information, please refer to SFA Part XII Market Conduct, Division 1 – Prohibited Conduct – Securities .

Customers shall not engage in any such prohibited market conducts.