intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
not meet the conditions set forth in Clause 6, the Office shall notify the rejection and return such statement of claim to the claimant within fifteen days from the date on which the Office receives
claim via registered mail; (2) the statement of claim does not meet the conditions set forth in Clause 6, the Office shall notify the rejection and return such statement of claim to the claimant within
derivatives business under the licensed category shall commence the operation of such derivatives business upon inspection by the Office that the licensee has proceeded to meet with the qualifications
highest responsibility in the line of work relating to capital markets shall meet the following rules: (1) comply with rules set forth in Clause 7(1), or (2) if not passing the examination on course