) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
be returned to the client. In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
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
CIS operator fails to comply with the agreement made with a securities company under Clause 7, the securities company shall not provide any additional services related to selling, repurchasing and
or submit additional documents evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that (Translation) -4- such applicant
evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed
, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from