brokerage or securities dealing, the SEC Office may order such securities company to correct, act or omit from any act, to comply with this Notification. Chapter 3 Transitional Provisions _______________
instruct such person to take corrective action, or act or omit from any act to comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to the
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
Notification, the SEC Office may order such management company to rectify, operate or omit from any acts in order to comply with the rules as prescribed in this Notification, or suspend the approval for
such management company to rectify, operate or omit from any acts in order to comply with the rules as prescribed in this Notification, or suspend the approval for appointment of representatives for a
the purpose of compliance with this Notification, the SEC Office may require the REIT manager to explain, deliver evidentiary documentation, act, or omit to act as stated in the requirement. Clause 17
administrative sanction shall depend upon an uncertain future event; (3) the prescription to act or omit to act by the person subject to the sanction to rectify or prevent repetition of violation or non-compliance
, or such person is not suitable to be the service provider, the SEC Office shall [i] notify the intermediary to amend, act or omit to act in any way in order to comply with this Notification, or [ii
omit to act in any way 5 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 47/2560 Re: Outsourcing Operational Function relating to Business Operation to Third Party (No.6