for customers with unusual transaction patterns, such as delaying withdrawals, reducing trading limits, or refusing to provide services; (5) Impose withdrawal delay measures for customers who do not

action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the derivatives exchange

arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the

, 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

to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify

to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify

to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify

296/2 of the SEA, as the case may be. The Civil Sanction Committee (CSC) has therefore resolved to impose civil sanctions on the 14 offenders above, as summarized below:      (a) The offenders are

thereto, including the rules of the Commission issued under this Act, or professional standards, the Board may impose such disciplinary or remedial sanctions as it determines appropriate, subject to

of Clause 5(1), the foreign collective investment scheme shall: (1) be managed by a CIS operator who: (a) is under supervision of home regulator which has the authority to impose sanctions or to order