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
Clause 3(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
, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to close out the
derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to
, where the position exceed the amount impose by the derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to