grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
the clients’ requests within 15 days from the date when the SEC notifies the company in writing of the SEC Board’s resolutions. (The deadline falls on 11 March 2024). In the event that
Office shall notify the Legal Execution Department in writing regarding the proceedings and expenses (if any) for the purpose of managing the assets of the intermediary under receivership in accordance
standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment of a
with standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment
follows: (1) having an agreement, in writing, for appointment of a representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to
operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under Paragraph 1 to
a derivatives broker which has ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require