or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is
related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as
for management in the manner of deceit, fraud or dishonesty 1 relating to offences against property as specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground
wrongdoings, both in the manners of fraud and unfair securities trading, and the SEC has taken legal actions against these offenders in many cases. In this particular case, the SEC has filed a criminal
and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered. SEC
deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being
manner of deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office