regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of

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

one and such conduct lacks ethics or standards of conduct and processes prohibited characteristics as specified in the notification of the Securities and Exchange Commission governing prohibited

registered person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the

regulations as prescribed in this Notification. In case where it appears that the service provider lacks qualifications, possess a prohibited characteristic or is no longer suitable for the outsourced function