occurred for more than 10 years up to the date when such fact appeared to the SEC Office, the SEC Office [i] may not consider such case as a ground for rejecting an approval, suspending or revoking an
consider such case as a ground for rejecting an approval, suspending or revoking an approval or removing from the position, or [ii] may disclose such inappropriate demeanor for the replacement of issuing
service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4
of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the
, conditions and procedures for terminating the contract or suspending operation [under such contract]; (4) remuneration and charged expenses. In the case where the service provider subcontracts the outsourced
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying