capital in accordance with the corrective plan or guideline notified to the SEC Office under (2). Clause 13 During the period when an intermediary fails to maintain the capital in accordance with the
capital market as specified in Paragraph 1(1) of Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the
Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the provisions in Clause 4 and Clause 5 or Clause 6
(1); (2) the provision of services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in Clause 5
services is not in compliance with the details specified in Clause 4(2)(3) or (4), as the case may be; 4 (3) the approved person fails to comply with the provisions in Clause 5; (4) the innovation used in
(1); (2) the provision of services is not in compliance with the details specified in Clause 3(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in Clause 4
Clause 3(1); (2) the provision of services is not in compliance with the details specified in Clause 3(2)(3) or (4), as the case may be; (3) the approved person fails to comply with the provisions in
, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to close out derivatives position If an investor is unable to close out the