. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and performance of a
providing. Clause 8. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and
itself or such delegation will ensure more efficient service providing. Clause 8. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued
(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant
report to the Office the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day from the date on which the disruption occurs. Once the
to the Office the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day from the date on which the disruption occurs. Once the
appropriateness of the position under consideration; and (c) the cause of the action taken according to (a) shall be base upon the commission of offences under the law on securities and exchange or the law on
) amount and category of assets ; (3) cause of receipt or disposal of assets . In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit
client’s asset account under Paragraph 1 shall contain at least the following details: (1) date of receipt or disposal of assets; (2) amount and category of assets; (3) cause of receipt or disposal of assets