derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to
, where the position exceed the amount impose by the derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to
provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification
operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance
later to the Office that derivatives broker violates or fails to perform in compliance with this notification or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the
. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or the service provider does not have qualification as
part that involves with the securities company. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or
the Office. If such person fails to comply or proceed as specified, the Office shall deem that such person does not intend to apply for approval for investor contact. Clause 7/1. The approval for
fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 8. Fees for application and issuance of license for undertaking