the register through the qualifications under the second paragraph of Clause 6; Chapter 3 Transitional Provisions ______________________ Clause 14. A person having been granted approval to be listed on
Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold derivatives who was legally undertaking business under the
Commission may revoke its license thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold
derivatives business operator. Chapter 3 Transitional Provision _____________ Clause 13 A derivatives business operator was registered under the Notification of the Securities and Exchange Commission which are
manager of foreign capital market regulator accepted by the Office. Chapter 4 Transitional Provisions ______________________ Clause 16. A person approved to be a fund manager prior to the date of 1 January
information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital
; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions
facilitate customer to use service from other derivatives broker. Transitional Provisions ________________ Clause 17. In case where derivatives broker has established the full-service branch office or online
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For
inappropriately regarding securities dealing, the SEC Office may order such securities company to rectify, act or omit to act in compliance with this Notification. Chapter 4 Transitional Provisions Clause 24 A