and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities
Outsourcing Non-central Utility Function ______________________________ 6 Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the
, the Legal Department sent out a letter of payment request to MAT and the representative of MAT contacted for negotiation but there was no any conclusion. On January 25, 2017, the Legal Department sent
regulator is located, providing that such information shall be kept at office or on the website of securities company and sent to investor upon request. Clause 8. Prior to selling units of foreign collective
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any
relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
any orders to derivatives broker, it shall be deemed that the Office grants an approval to such derivatives broker to use back office service upon request. Clause 7. The derivatives broker shall be
any orders to derivatives broker, it shall be deemed that the Office grants an approval to such derivatives broker to use back office service upon request. (Translation) -4- Clause 7. The derivatives