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 Commission or the Office to

category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its

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

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

or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for

Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client

, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

this Notification or has improper conducts, the SEC Office may order such person to rectify, act or omit from any act for compliance with this Notification. Clause 10 All notifications of the Office of

nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for

Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the