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
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
operating system or other measures: (a) punishing directors, executives or other personnel who have involved in the breaching; (b) reimbursing damages or compensating deficient interests to the client (if any
deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this