condition, or are inappropriate or may violate the law governing derivatives; or if the client fails, upon request of the Derivatives Exchange, the Clearing House or the Office of Securities and Exchange
of share dividends; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have
; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have relevant details
subscribers. To give order under the first paragraph, the SEC Office shall take the following factors into consideration: (1) severity of the facts or circumstance that have been changed; (2) impact on investor
reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any
applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the
, manager or person with managing power of other securities company: O yes (please specify in detail) Name of company……………………………………………… condition or time Clause of termination of office in such company
……………………………………………… condition or time Clause of termination of office in such company…………………………………………………………………… O no 6.5 Having been removed from office of chairperson, director or manager under Section 144 or Section 145 or