), (12), (13), (14), (15), (16), (17) or (18) and the severity of behaviors of such person, after such factors as stipulated by the Office as per Clause 12 hereof have been considered, falls into the

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed

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

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

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