secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its own proprietary portfolio resulted from an error in
resulted from an error in making trading orders for clients; (4) a purchase for its own proprietary portfolio in compliance with the requirement of purchase of shares in the Stock Exchange for delivering to
denying or limiting the securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there
staff sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the
sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the Company’s