| 1. | Article 3 . when issuing and dealing in securities , all concerned must abide by the principles of openness and fairness
第三条证券的发行、交易活动，必须实行公开、公平、公正的原则。 |
| 2. | He is also a relevant individual engaged by wing lung bank limited in respect of type 1 dealing in securities regulated activity
他亦是就第1类证券交易受规管活动而获永隆银行有限公司聘用的有关人士。 |
| 3. | 1 . mr ho is a representative accredited to wing lung securities limited licensed to carry on type 1 dealing in securities regulated activity
1 .何现时是隶属于永隆证券有限公司的代表，获发牌进行第1类证券交易受规管活动。 |
| 4. | He was also a relevant individual engaged by wing lung bank limited in respect of type 1 dealing in securities and type 7 providing automated trading services regulated activities
他亦曾是就第1类证券交易及第7类提供自动化交易服务受规管活动而获永隆银行有限公司聘用的有关人士。 |
| 5. | Article 4 . all participants involved in issuing and dealing in securities enjoy equal legal status , and shall abide by the principles that their acts will be voluntary , reimbursable , honest , and trustworthy
第四条证券发行、交易活动的当事人具有平等的法律地位，应当遵守自愿、有偿、诚实信用的原则。 |
| 6. | Article 5 . when issuing and dealing in securities , all concerned must abide by laws and administrative rules and regulations . cheating , insider trading , and manipulation of stock markets are prohibited
第五条证券发行、交易活动，必须遵守法律、行政法规；禁止欺诈、内幕交易和操纵证券交易市场的行为。 |
| 7. | Ii the nominee may on instructions from the customer or its agent sell the securities on behalf of the customer and or purchase or otherwise transfer or deal in securities for the account of the customer
Ii代理公司可按客户或其代理人之指示，代表客户出售证券及或为客户之账户购买或以其他方式转让证券或作出其他证券交易 |
| 8. | 3 all securities held for my / our account shall be subject to a general right of disposal in your favour , for the performance of my / our obligations to you arising in respect of dealing in securities for me / us
所有本人/吾等户口内的证券均受制于阁下的全面处置权，以确保本人/吾等履行对阁下代本人/吾等买卖证券而产生的责任。 |
| 9. | Securities and futures client securities amendment rules 2006 the amendment rules amend the principal rules for the purpose of imposing a repledging limit on intermediaries licensed for dealing in securities or securities margin financing
2006年证券及期货客户证券修订规则修订规则修订主体规则，对获发牌进行证券交易或证券保证金融资的中介人实施再质押上限。 |
| 10. | The bank is a deemed registered institution under the securities and futures ordinance cap . 571 " sfo " permitted to carry on type 1 dealing in securities , type 4 advising on securities and type 9 asset management regulated activities
根据证券及期货条例第571章证券及期货条例本行乃被视为一家注册机构，获准经营第1类证券买卖第4类就证券提供意见及第9类资产管理受规管活动。 |
