regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
disclosed to shareholders remains unclear and lacks key information, particularly the information and details used by EMPIRE in considering the sale of the DRJ Group and in accepting consideration in the
approval given in accordance with Clause 23 for the offering of structured notes: (1) the Company offering structured notes for sale lacks the qualifications, or its compliance with the conditions after
approve, suspend or revoke an offer for sale of a private placement of bonds, as the case may be: (1) the issuer lacks the qualifications, or its compliance with the conditions after approval is
be: 6 (1) the foreign entity which will offer for sale of debt securities lacks qualifications or its compliance with the conditions after approval is inappropriate, or it will be unable to comply with
one and such conduct lacks ethics or standards of conduct and processes prohibited characteristics as specified in the notification of the Securities and Exchange Commission governing prohibited