efficient work systems for monitoring and inspecting securities trading transactions of clients; (3) To require that securities companies enter into an agreement with their clients before commencing service
. Clause 29. Filing of an appeal shall not be a cause of relief as to the enforcement of the administrative sanction. The appellant, however, may file a motion for relief together with the appeal and explain
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
2018. Failure to proceed accordingly may subject IFEC directors or such persons to be in contravention of Section 89/7 of the SEA and a supporter to such offence.Concurrently, the SEC is inspecting the
party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion requesting the arbitrator to interpret such statement within thirty days from the
party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion (UNOFFICIAL TRANSLATION) - 10 - requesting the arbitrator to interpret such
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession