Clause 3(1); (2) the provision of services is not in compliance with the details specified in Clause 3(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in
, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to close out the
derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to
, where the position exceed the amount impose by the derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to
provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification
operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance
later to the Office that derivatives broker violates or fails to perform in compliance with this notification or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the
. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or the service provider does not have qualification as