notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act
contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act, willfully or negligently, of the
in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact approved or registered by regulators of foreign capital markets accepted by the Office on
manager on the renewal application date in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact approved or registered by regulators of foreign
executive or mutual fund manager or private fund manager on the renewal application date in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact
of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have
company as its representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling