sanctions imposed by the CSC will take effect once offenders sign a letter of consent, agreeing to comply with the sanctions. If any offenders refuse to consent, the SEC will submit the cases in writing to
of other activities as assigned by the Board of Directors with the consent of the Audit Committee. To perform such duties completely, the Audit Committee is empowered to call in or ask the Management
, risks and conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an
conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an agreement with the
limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make an
limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; 3 (4) make
limitations, risks and conditions different from the 3 provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make
of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not