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Updated: 12 Dec 2018 10:22

Ethical and professional standards have recently gained importance, especially in the highly competitive securities industry. Such standards provide significant benefit to the general investing public and help prevent potential damage to the overall industry.

Ethical and professional standards are a core value that highlight and ensure professional integrity, fairness and accountability. The present supervisory approach has gradually evolved from controlling to monitoring and supervising by emphasizing employees act with the utmost integrity, dignity and reliability. The importance of encouraging the development of these moral characteristics far outweighs the method of disciplinary sanctions through laws and regulations.

The company encourages employees at all levels to engage in their respective duties with a high degree of ethics and professionalism and to help promote a trustworthy image and reputation. The company has therefore adopted a comprehensive guide for employees with the aim to ensure they carry out their duties in a way that is deemed proper and adequate.

Codes of Business Practices

The company has adopted a code of business practice that employs the same principles as the Code of Business Practices for Securities Companies, as specified in the Notification of the Securities and Exchange Commission (SEC) dated December 26, 2000, which applies to the derivatives business. Employees should apply this code of best business practices when performing their tasks.

1. Integrity, Fairness, and Responsibility
The company shall serve the investing public with integrity, fairness and transparency. The company and its employees shall also not engage in any activity that may have an improper influence on the company's or individual's business integrity or that may lead to customers having a misunderstanding of any issue or result in any irresponsible action being committed.

2. Professions, Knowledge, and Competence
The company shall conduct its business in a manner that favorably reflects on the profession. All employees shall demonstrate a high level of knowledge and competence. A continued assessment and recognition of possible risks in the securities business shall be undertaken, and reasonable care and consideration shall always be taken in establishing and reviewing operating systems with appropriate internal control measures.

3. Adherence to Relevant Laws, Rules, and Regulations
The company shall require its employees to perform all functions in accordance with applicable laws, rules and regulations imposed by regulatory and supervisory authorities. The company shall also not knowingly violate or be used by others to violate any governing regulations or standards.

4. Know the Customers
The company shall obtain sufficient information about customers in order to be able to effectively cater to their needs.

5. Information Disclosure
The company shall provide customers with appropriate and correct information to enable them to choose wisely when purchasing any of the company's services. Information should be timely and sufficient to help customers determine their investment objectives and constraints.

6. Preservation of Customers' Confidentiality
The company shall preserve the confidentiality of customer records. Every means shall be used to prevent the misappropriate use of customers' information, and any practice that may harm the owner of said information or related parties.

7. Conflicts of Interest
The company has in place measures to prevent any dealing that may result in a conflict of interest between the company and its customers. These measures promote fairness in providing customer services.

8. Segregation of Customers' Assets
The company takes considerable care of customers' assets to prevent possible loss partly by segregating their assets from those of the company. This system enables the ownership of each asset to be identified.

9. Financial Strengths
The company regularly assesses probable risks that may arise from general business practices that may affect its financial position and operations. An adequate level of capital is regularly retained to ensure financial strength and to provide a sufficient cushion for any financial obligation.

10. Co-operation with Supervisory and Regulatory Authorities
The company maintains a high level of cooperation with all relevant authorities in order to maintain and promote public trust and confidence in the Self-Regulated Organization (SRO).

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