considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the client’s
services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c
necessary. In case where the period of time as specified in the second paragraph expires but the Office has not yet notified or made any orders to securities company. It shall be deemed that the Office grants
needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the thirty –day period. The Office may extend the consideration process as necessary. In case where
process as necessary. In case where the period of time as specified in the second paragraph expires but the Office has not yet notified or made any orders to securities company. It shall be deemed that the
notified the securities company in writing, the securities company shall undertake any steps to relieve such executive from being the executive of the securities company within necessary and justified period
within necessary and justified period of time without delay. Clause 6. Any securities company which has an executive with prohibited characteristics as specified in Section 103 of the Securities and