In the case where it appears to the securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities
complaints arising from the performance of duties of its employees. Clause 4. Unless otherwise specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the
Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (No. 3), dated 17 October 2007. Clause 4. Unless otherwise specified, the Office shall have power to issue the
specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the matters specified in this Notification to ensure practical implementation and to enable the Office
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
performance of a management company; or a management company is unable to continue to meet the criteria set (Translation) Page 3 of 3 out under Clause 5, the Office shall have the power to instruct the branch
under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
three years relating to gold; (4) Being able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the