has made with the client shall contain no statement which enables the derivatives broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the
this regard, the SEC Office shall deliberate the appropriateness under the following rules: (1) having explicit policy and objective in respect of member supervision and promotion of the appraisal
The SEC Office would deliberate the application for obtaining an approval to appoint a person to be personnel in the capital market business within 5 business days as from the date when the SEC Office
the first paragraph shall be based upon the factors specified in Clause 14. In case of intentional or gross negligent violation which causes the violator to obtain ill gotten gain or causes damages to
public. Section 306 to Section 311, Section 314 to Section 315 Section 145 to Section 147, Section 149 to Section 150 Section 85 to Section 87, Section 89 to Section 90 Intentional disclosure of material
to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in Clause 8(2), the SEC Office shall deliberate and
Clause 8(2), the SEC Office shall deliberate and notify thereupon to an intermediary within 30 days as from the date when the SEC Office received the application together with the correct and complete set
to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in Clause 8(2), the SEC Office shall deliberate