scheme under this Notification, the SEC Office may order the securities company to rectify, act or refrain from acting for the purpose of complying with this Notification. Clause 13 This Notification shall
management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order
rectify, undertake or omit from any acts in order to comply with such rules or suspend the approval for appointment of representatives for the specified period or conditions or revoke the approval for
Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order to comply with such rules or suspend the approval for appointment of representatives for the
or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the Office may order the derivatives broker to rectify, do or refrain from doing any acts related to
with this notification or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the Office may order the derivatives broker to rectify, do or refrain from doing any acts
Office may order the derivatives broker to rectify, do or refrain from doing any acts related to derivatives investor contact service or back office service from service provider. Notified this 8th day of
specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service from service provider. Clause 11. Securities company
the service provider does not have qualification as specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service