financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
has sound financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts
condition, or are inappropriate or may violate the law governing derivatives; or if the client fails, upon request of the Derivatives Exchange, the Clearing House or the Office of Securities and Exchange
characteristics or become unsuitable to operate the outsourced function in accordance with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification. Clause 5 This
characteristics or become unsuitable to operate the outsourced function in accordance 3 with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification. Clause 5 This
Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company, shareholders as a whole, money market or capital
to procure, for himself or the other person, any advantage to which he is not entitled by law. 15 (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i
monitoring programmes should be in place to enable staff to understand relevant codes of conduct and apply them effectively to avoid company involvement in inappropriate behaviour. 5.0 Risk oversight 5.1
client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or