such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply
such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply
client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the
identification of the client, the beneficial owner, and the person controlling the derivatives trading of the client. Clause 21 The derivatives broker shall provide sufficient information or documentation in
identification of the client, the beneficial owner, and the person controlling the derivatives trading of the client. Clause 21 The derivatives broker shall provide sufficient information or documentation in
sufficient clarity to enable the identification and assessment of risks relating to objectives. Questions Yes No 6.1 The company is able to comply with the generally accepted accounting principles which is
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
shall be disclosed with expected turnaround schedules during each period of time. Remark: Identification of the customers or suppliers who account for more than 30 percent of the total income over the
shall be disclosed with expected turnaround schedules during each period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the
statement for an offering of digital tokens and draft prospectus until an action has been taken to rectify such information disclosure and such other action has been taken as specified by the SEC Office in