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
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this Notification or the regulations and guidelines specified by the derivatives
times. In case the representative fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company
fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company shall handle investor complaints
an amendment to the trust instrument fails to meet the requirements as prescribed under Sub-clause (1), the trustee shall proceed in accordance with its power and duties as specified in the trust
appropriate: (1) the auditor does not take action under Clause 13; (2) the auditor has any behaviors under Clause 16; (3) the auditor violates or fails to comply with the rules under Clause 22 or Clause 25; (4
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