relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been accused of or subjected to criminal proceeding
the operational risk and the customer relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been
Shares to Specific Investors (Private Placement) constituting a Connected Transaction, Reduction of Registered Capital, Increase of Registered Capital, Amendment of Memorandum of Association, Waiver from
. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean
paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean time, the securities company may assign an officer of the head office
. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the