changes to such systems are urgent, such fund supervisor may inform the Office of such urgency to request the result of the consideration for such change approval before the fifteen-day deadline is due. Any
changes to such systems are urgent, such fund supervisor may inform the Office of such urgency to request the result of the consideration for such change approval before the fifteen-day deadline is due
handling system, report of customer complaints and result of the complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 In servicing as Derivative broker
deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the
risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed
authorities. The duties required under such legislations pose a different type of risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned
with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications
prescribed under the said notifications except for a case where there is difference in procedures which does not result in any material change of the qualifications stated in the application. Clause 26 Any