application system data; (8) limit the number of entering wrong passwords. In practice, there should not be more than 10 unsuccessful attempts; (9) transmit passwords to users securely such as in sealed
) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
comply with requirements of this Notification; (5) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this
shall make a contract of compromise as per Form OrYor. 4 prescribed by the Office. If the mediation is unsuccessful whether because the parties cannot reach an agreement or the Office is of opinion that
not failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________
any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter
receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification
any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such