管理法令

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2.

Other conducts which are in violation of securities laws and regulations or conducts prohibited by the rules prescribed by the Commission.

二三其他违反证券管理法令或经本会规定不得为之行为。

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3.

any other conduct which is against the securities laws and regulations or the rules of the Commission;

七其他违反证券管理法令或本会规定应为或不得为之情事。

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4.

IV. Operational and Integrated Risk Management , Legal , Accounting, and Ethics

操作与整合性风险管理，法令，会计，职业道德

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