........); ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph........); ( 5.4 Correction of previous year’s material misstatement in

regulatory action (paragraph number......) ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph number........) ( 5.4 Amendment of

personnel as specified in Clause 12 (3), as the case may be, or not able to act in compliance with rules prescribed herein for every day during which the operation of such branch office continues, the Office

Office is not required to comply with the provisions under Clause 3 and Clause 4. However, where such securities company has been, and continues to operate as, the derivatives broker , it shall not be

office continues, the Office shall have the power to instruct the securities company to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to