where it appears to the Office that the securities company violates or fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or
company violates or fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the
fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the Office may order such
Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the
SEC Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for
Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
official regulator; (4) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to