precious metal derivatives brokerage license is unable to comply with the conditions as prescribed in the first paragraph, the Securities and Exchange Commission may revoke its license thereof. Chapter 4
thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold derivatives who was legally
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
Commission may revoke its license thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold
paragraph, the Securities and Exchange Commission may revoke its license thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that
operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under Paragraph 1 to
a derivatives broker which has ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require
ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under