specified in Clause 11, make correction, undertake, or refrain from undertaking within the specified time. If any registered derivatives business operator fails to comply with the order, the SEC Office has
, unless the scheme specifies to comply with the Dispute Resolution and Enforcement Mechanism (“DREM”); (7) specifying to disclose material information at least being the same as the information disclosed to
valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in accordance with the rules as
the association, the valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in
. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the
does not comply with this Notification or the guideline set by the derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may
or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the derivatives broker according to this Notification or it appears
17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being