prescribed under the said Notification. The service office shall also be subject to this Notification and other notifications issued by the Office in relation to this Notification. Clause 10. This Notification
, including the notifications of the Office of the Securities and Exchange Commission, orders and circulars issued or providing guidelines in accordance with the aforementioned Notification of the Capital
existing clients of whom the securities company has no records in completion by 31 December 2009. Clause 25 All notifications of the SEC Office, orders and circulars issued under or prescribing guidelines
completion by 31 December 2009. Clause 25 All notifications of the SEC Office, orders and circulars issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange
the event that any mutual fund manager violates or fails to comply with the laws, notifications or professional ethics relating to mutual fund management, the Office shall have the power to take the
manager violates or fails to comply with the laws, notifications or professional ethics relating to mutual fund management, the Office shall have the power to take the following actions; (1) Warning; (2
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
, the SEC Office shall have the authority to prescribed and notify any detailed criteria on the matters prescribed in this Notifications for the purpose of clarity in practice and for inspection by the