operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
) the auditor notifies the SEC of the intention to terminate the performance of duty as an SEC-approved auditor; (2) the auditor or the attaching audit firm lacks any specified qualifications; (3) the
becomes known or should have been known that the Registration Statement is false or lacks any material information that should have been disclosed, but in any case not later than two years since the
one and such conduct lacks ethics or standards of conduct and processes prohibited characteristics as specified in the notification of the Securities and Exchange Commission governing prohibited
registered person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the
person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the qualifications
person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the qualifications
regulations as prescribed in this Notification. In case where it appears that the service provider lacks qualifications, possess a prohibited characteristic or is no longer suitable for the outsourced function