Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
official regulator; (4) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this Notification or the regulations and guidelines specified by the derivatives