approval the Office may specify additional conditions which apply to such investor contact and the securities company which has submitted the application for approval. In case the Office declines to grant
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
operation within the period of time specified by the Office and such registration shall be deemed valid until the Office orders otherwise. In cases where the Office declines to grant a renewal to any
receipt of the copy of the statement of claim. If the respondent fails to inform his intention within such period of time, it shall be deemed that the respondent no longer has the intention to mediate. In
Licensing Manual for the Public. Clause 6 ( In the case where any securities registrar fails to maintain the qualifications as shown in the application for a license under Clause 3(2) (3) and (4), the Office
Appointing Derivatives Brokerage or its trading regulation, that is when the Client’s balance in its margin account drops to the forced closeout point , the derivatives agent will call the Client to deposit
) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed
, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from
specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed in the register of person qualified