exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require
provisions under Clause 3 and Clause 4. However, where such securities company has been, and continues to operate as, the derivatives broker, it shall not be exempted from the duty to comply with the
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
) and (2) by demonstrating the details on the Form 81-1 as provided on the website of the SEC Office. Clause 3/1 An offeror having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep
demonstrating the details on the Form 81-1 as provided on the website of the SEC Office. Clause 3/1 An offeror having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and