: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance
Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance of Net Liquid Capital
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
without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause 9 and Clause 10 for a minimum period of two years from the preparation date thereof
9 and Clause 10 for a minimum period of two years from the preparation date thereof and in the manner which facilitates prompt inspection by the Office upon request. Clause 12. This Notification shall
Office needs to consider additional facts, the SEC Office shall notify the derivatives business operator in writing by stating the grounds or period of time required for such consideration, as the case may