related with the management company. Clause 6. The Office shall complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation or higher more than
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
; (4) have good management record as follows: (a) for the period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being
derivatives broker shall calculate value of instrument or securities in which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect
which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect current market value of each type of 2 Amended by the