under this Notification shall lapse in the following cases: (1) expiration of the participation period of the regulatory sandbox under Clause 3(4) unless an approval is granted by the SEC Office to
complaints arising from the performance of duties of its employees. Clause 4. Unless otherwise specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the
Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (No. 3), dated 17 October 2007. Clause 4. Unless otherwise specified, the Office shall have power to issue the
Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (No. 3), dated 17 October 2007. Clause 4. Unless otherwise
business days to the SEC Office. In this regard, unless specified otherwise by the SEC Office. Clause 6. In case where a securities company wish to file the report of net liquid capital calculation to the
, deputy manager, assistant manager, department director, branch manager and any person holding equivalent position called otherwise shall work full time for the securities company, unless being granted an