as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1
ordered Zipmex to suspend its business operations and return assets to its client or proceed according to their requests within 15 days. If any clients do not notify their requests or claim their assets
infeasibility to proceed the transaction. The usage of other sources of capital, which is the Company’s sources, to compensate the financing capital from the financial institution is insufficient and could affect
have more time to proceed as planned. If the results of the review affect the fair valuation of the investment or any items in the financial statements that have been submitted to the SEC Office and
criminal complaint filed by the SEC, the criminal enforcement process will proceed with an investigation by the inquiry official, a prosecution of the public prosecutor, and an adjudication of the court of
Repo service to ordinary persons categorized as institutional investor to proceed in the same manner as with non-institutional investors. For example, securing a risk management system related to
Court’s judgment, the SEC will proceed with legal execution according to legal proceedings.” ________________________