the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a
cases where it appears the following facts: (a) derivatives trading by the client has or may have an impact on the orderly trading of the derivatives exchange, or has caused or may cause the trading price
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
or distributing to investor the following documents containing material facts no different from the draft filed with the SEC Office under the Notification of the Office of the Securities and Exchange
matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to
to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this
additional facts and the SEC Office has notified the derivatives business operator before the end of such thirty days period. Clause 4. The approval for appointment of an executive of a derivatives business