the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application and supplemental documents. In case the Office refuses to grant approval for
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other documents under the KYC/CDD process, or produces
) shall together select another arbitrator to be the chairman of the arbitrator panel. If the respondent refuses to have three arbitrators or the respondent does not show his intention whether or not to
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