Notification to ensure the intelligibility thereof in the operation, and to allow the Office to monitor such operation. Clause 20. Prior to the effective date of this Notification, if the work system and
. Clause 20. Prior to the effective date of this Notification, if the work system and personnel of any management company do not comply with the provisions of this Notification, the management company shall
necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities
necessity to conduct further inspection of any facts and the Office has informed the securities company of such necessity prior to the end of such period of time. Clause 4. In the case where there appears
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
for opening an account and the giving of advice to the client. Clause 22 Prior to opening an account for a client, the derivatives broker shall consider the client’s ability to place collateral and the
experience in derivatives trading for the purpose of consideration of an application for opening an account and the giving of advice to the client. Clause 22 Prior to opening an account for a client, the