addition, -5- those are still in the process of receiving payments from receivables. Therefore, the company must use additional sources of funds from finance institutions to operate the projects. Trade and
statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are
acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are recommended to study related information before making investment decision”; (3) in
from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of
document evidence, unless there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of thirty days, the Office may extend the period for
thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the derivatives broker prior to
within thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the derivatives broker
the result of its consideration to the derivatives broker within thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under