with the Notification of the SEC Office. 3 Clause 5 The derivatives broker which ceases the operation of the derivatives business in the category of derivatives brokerage and has given a written notice
which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold derivatives brokerage
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold
evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date
threshold is not reached after a specified period, then a full refund will be given to the ICO investors. This is to ensure that the proceeds from ICO will be released to and utilized by the ICO issuer only
rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
in charge of the account, (b) the back office and the investment consultant responsible for the client account could not contact the client via the phone number given by the client, and (c) the back
contact the client via the phone number given by the client, and (c) the back office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3