regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
becomes known or should have been known that the Registration Statement is false or lacks any material information that should have been disclosed, but in any case not later than two years since the
person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the qualifications
person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the qualifications
regulations as prescribed in this Notification. In case where it appears that the service provider lacks qualifications, possess a prohibited characteristic or is no longer suitable for the outsourced function
behavior that, if considered on a reasonable ground, indicates failure to honestly and fairly perform duty in providing financial services, lacks professional accountability or due care, or aids or abets or
regulations as prescribed in this Notification. In case where it appears that the service provider lacks qualifications, possess a prohibited characteristic or is no longer suitable for the outsourced function