dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the
securities business, or the dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve
as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit
result of the application within thirty days as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the
or submit additional documents evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that (Translation) -4- such applicant
evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed
include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or
unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain evidence regarding securities trading and maintain