not appear that the management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
twelve months prior to the date the branch office starts its operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
disclosure of information that is insufficient and incomplete for investment decision making, or misleading to investors in a manner of concealing, disguising or fabricating information in the particulars, or
contain any false or misleading statement in materiality nor omission of any material statement that ought to be declared and that the financial statements and financial information referred to in this
deposit is treated as the a security for the Purchaser to follow the agreement. If the Purchaser does not follow such agreement, under any circumstances which is not the Company’s fault, the Company has the