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  • Employment of Manipulative and Deceptive Devices or Practices

    • MAM-3.3.4

      Without prejudice to the provisions of rule MAM-3.1.2 (e), no person shall, directly or indirectly, in connection with the subscription, purchase or sale of any securities:

      (a) Employ any device, practice, scheme or artifice to defraud;
      (b) Engage in any act or course of business which operates as a fraud or deception, or is likely to operate as a fraud or deception, upon any person;
      (c) Make any statement he knows to be false in a material particular; or
      (d) Omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading.
      November 2010