related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the overall
fails to maintain the capital in accordance with the Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the
capital in accordance with the corrective plan or guideline notified to the SEC Office under (2). Clause 13 During the period when an intermediary fails to maintain the capital in accordance with the
capital market as specified in Paragraph 1(1) of Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the
Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the provisions in Clause 4 and Clause 5 or Clause 6
(1); (2) the provision of services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in Clause 5
services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; 4 (3) the approved person fails to comply with the provisions in Clause 5; (4) the innovation used in
(1); (2) the provision of services is not in compliance with the details specified in Clause 3(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in Clause 4