period of time. If the investor is unable to do so, the derivatives broker will close out the derivatives position of the investor. However the investor will still be responsible for any loss that may

investor will still be responsible for any loss that may arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person

emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to

procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to analyze value and

as having measures for emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients

each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back

and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes to use back office service from

Chinese Wall among each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes

person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of

directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of management” means a deputy manager, an