of such reports or documents. Clause 11/3.16 In the case where the investment advisory company violates or fails to comply with Clause 2/1, Clause 11/1, or Clause 11/2 or does any improper act which
license type C , as the case may be, at all time during its undertaking of derivatives business. If the derivatives business licensee fails to satisfy any condition set out under Paragraph 1, the Securities
business license type C, as the case may be, at all time during its undertaking of derivatives business. If the derivatives business licensee fails to satisfy any condition set out under Paragraph 1, the
Supervisory Board.9 In cases where the licensee fails to comply with the conditions specified under the first paragraph, the Minister with the SEC’s recommendation may revoke such license. Clause 17 Subject to
to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any securities company violates or fails to comply with
securities company violates or fails to comply with this Notification or code of conducts prescribed by the securities company for the implementation of this Notification or acts inappropriately as a
for the Office to effectively monitor the operation. Clause 26 . In the case where the Office finds that that any securities company violates or fails to comply with this Notification or code of
management company should know whether the employer has remitted the money to the fund. Where the employer fails to remit such money into the fund within the prescribed period, the management company should
, within the next business days from the date prescribed by the law, the management company should know whether the employer has remitted the money to the fund. Where the employer fails to remit such money