regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
prescribed under Clause 22/2: (1) within a period of five years prior to the date of submitting the application: (a) having acted in violation of any rule or condition related to securities offering in a
customer risk profile. Credit policy has been tailored for each customer segment. Industry pre-screening criteria, which can be used as a guideline for customer selection, have been established to classify
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