Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a manner which may cause disgrace
are appeared to the SEC Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a
Notification or the regulations and guidelines specified by the derivatives broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker , the SEC Office may
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
for preventing and suppressing unfair acts related to derivatives and inappropriate derivatives trading behavior, which shall meet at least the following requirements: (1) establish the rules that
creditors. Enclosure 3 17 Assistance from Link Capital I are suitable for the Company’s current status, since it is unlikely or unfit for the Company to obtain a loan from a commercial bank given its current
specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company
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