customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give
derivatives trading with the customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives
securities-issuing companies or securities companies for 17 months. The civil sanctions, as imposed by the CSC, will take effect when the offenders sign a letter of consent, agreeing to comply with the civil
barred period of serving as director or executive will take effect when the offender signs a letter of consent, agreeing to comply with the civil sanction as imposed by the CSC. In the event that the
the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give consent to the sanctions, the SEC will submit the cases in writing to
as director or executive for 18 months. The civil sanctions, as imposed by the CSC, will take effect when the offenders sign the letters of consent, agreeing to comply with the civil sanctions. In the
on the letter of consent which specifies civil sanctions to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and