of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional

the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

(MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office, which the MOU contains the mutual assistance not less than as

(MMOU); (b) a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office concerning mutual assistance at a level not less than as

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was

in half by the claimant and another half by the respondent. The Office shall give financial assistance to the claimant as the Office deems appropriate. The Office shall bear all expenses incurred in