mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives

the SEC Office, the SEC Office shall have the power to grant the securities company a temporary or permanent exemption from appointment of independent directors as prescribed in Paragraph 1. In such

the register through the qualifications under the second paragraph of Clause 6; Chapter 3 Transitional Provisions ______________________ Clause 14. A person having been granted approval to be listed on

Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold derivatives who was legally undertaking business under the

Commission may revoke its license thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold

Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In

derivatives business operator. Chapter 3 Transitional Provision _____________ Clause 13 A derivatives business operator was registered under the Notification of the Securities and Exchange Commission which are

manager of foreign capital market regulator accepted by the Office. Chapter 4 Transitional Provisions ______________________ Clause 16. A person approved to be a fund manager prior to the date of 1 January

regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause

information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital