with the approval of the Office; (4) Be a member of the association and shall refrain from violating relevant professional code of conduct and standards as specified by the association, in any aspects
derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from
order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held
that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause
Schemes to Non-retail Investors, with authority to impose sanction to or order the CIS operator of such ASEAN collective investment scheme to act or refrain from acting in case where the action may cause
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
shall have power to order the investment advisory company to act, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered