Articles Of Association And Various Rules Of The Association

Question 1

An association member must establish transaction commencement standards for sale and purchase or other transactions in OTC handled securities and shall enter into a contract for the said transactions etc. With customers who meet the said standards

Answer 1

True

Question 2

When conducting solicitations with respect to equity based crowdfunding business, methods using internet website is only permitted and cannot be done through phone and visits

Answer 2

True

Question 3

When an employee of an association member is to conduct securities related derivatives transitions on his/her own account, he/she must obtain written consent from the association member in which he/she belongs

Answer 3

False

A employee of an association member is not permitted to conduct securities deleted derivatives transactions on his /her own account