client’s derivatives trading is inappropriate or may contravene the law on derivatives3; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
cancelling the establishment of the REIT if the number of units sold fails to meet the requirement, for instance, having less than 250 investors, or raising an insufficient amount for the specified investment
prescribed by the Office. In cases where the company fails to give an explanation or submit additional supporting documents within the prescribed period, it shall be deemed that the company no longer intends
rules set out by the derivatives clearing house. If it appears to the SEC Office that any derivatives clearing house violates or fails to comply with its notifications or rules, or takes inappropriate
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
compliance therewith. Clause 23 In the case where the SEC Office finds that any securities company violates or fails to comply with this Notification or the rules issued by the securities company , or acts
securities company violates or fails to comply with this Notification or the rules issued by the securities company, or acts inappropriately regarding securities dealing, the SEC Office may order such
times. In case the representative fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company
Clause 10, as the case may be, at all times. In case the representative fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without