The agency appointed by securities regulatory agency under the State Council should perform supervision and administration roles and responsibilities within the scope of authorization from the securities regulatory agency under the State Council.

4 Other circumstances recognized by securities regulatory agency under the State Council.

He should be recognized by the securities regulatory agency under the State Council.

Specific measures shall be formulated by the securities regulatory agency under the State Council.

Specific measures shall be formulated by the securities regulatory agency under the State Council.

5 Having other conditions that are stipulated by the securities regulatory agency under the State Council.

Specific measures for administration shall be formulated by the securities regulatory agency under the State Council.

The securities regulatory agency under the State Council should take corresponding measures to deal with customer s claim.

4 Other behaviors prohibited by law, administrative regulation or the securities regulatory agency under the State Council.

5 Other behaviors prohibited by law, administrative regulation or the securities regulatory agency under the State Council.

5 Other items required by the securities regulatory agency under the State Council to prescribe in company regulation.

Once the responsible person for regulatory compliance finds behavior of law and regulation violation, he should report to agency prescribed in company regulation, and also report to the securities regulatory agency under the State Council or concerning self discipline organization according to the regulation.

The securities firm should have appropriate reasons for dismissing responsible person for regulatory compliance and report to the securities regulatory agency under the State Council in written within 3 working days.

Other shareholders of securities firms should comply with the related requirements of the securities regulatory agency under the State Council.

We therefore continue to expect cooperation and assistance from the Agency, particularly in building the capacity of the regulatory authority.

States parties to the relevant international instruments, like the GPA and NAFTA, are bound by requirements on transparency of procurement related regulatory texts that may be broader than those applicable domestically to the public disclosure of other regulatory texts.

If the securities firm closes all securities business, disbands, goes bankruptcy or revokes domestic branch, it should publicize in newspaper appointed by the securities regulatory agency under the State Council and submit securities business license to the securities regulatory agency under the State Council for deregistration based on regulation.

Similarly, issues of sector regulation, such as whether prices and quality of services should be established by the project company or by a regulatory agency, would be crucial for establishing an appropriate regulatory mechanism.

The audit report should be submitted to the securities regulatory agency under the State Council within 2 months of his leaving

The securities regulatory agency under the State Council can suggest the banking regulatory agencies of the State Council to give penalties to the person in charge and any other person directly responsible according to laws.

Article 7 The securities regulatory agency under the State Council, the People's Bank of China and other financial regulatory authorities under the State Council should establish information sharing mechanism of supervision and administration over securities firms.

The regulatory framework in the field of occupational safety and health is applicable in all work centres throughout the country, irrespective of the nature of their activities.

A reporting mechanism about securities firms relating status between securities regulatory agency under the State Council and local people's government should be established.

Centralized regulatory guidelines exist in Australia and the United Kingdom while in the United States, the procedures are largely determined on an agency by agency basis, and sometimes on a procurement by procurement basis.

Article 47 If a securities firm is engaged in collective investment by using assets of multiple customers or specially invests customer s assets into particular target products, it should comply with related prescription of the securities regulatory agency under the State Council and report to the securities regulatory agency under the State Council for approval.

Article 6 The securities regulatory agency under the State Council should perform supervision and administration roles and responsibilities of securities firm within the law.

2 Assets value entrusted by customer in single transaction is lower than minimum level prescribed by the securities regulatory agency under the State Council

(5) Where an asset management agency and a securities registration and clearing agency does not report to the securities regulatory agency of the State Council when it finds trust funds and assets and securities in secured accounts of clients are used in violation of provisions.

The securities regulatory agency under the State Council can enquire the bank accounts of a securities firm and enterprises controlled or actually controlled by the securities firm with approval of a person responsible of the securities regulatory agency under the State Council with a view to make a thorough investigation of business and financial status of the securities firm.

If issues are found in the examination and verification, the securities regulatory agency under the State Council shall take corresponding measures in a timely manner.

(1) Where a securities firm or its inbound branch engages in businesses out of scope approved by the securities regulatory agency under the State Council

(3) Failing to report to the securities regulatory agency of the State Council when it finds trading settlement funds of its clients are used illegally.

Article 17 With approval document of the securities regulatory agency under the State Council, the corporate registration agency should handle setting up, changing and deregistration of the securities firm as well as its branch according to law.

In other cases, the law entrusts the competent regulatory body or other governmental agency with the responsibility of protecting the interests of the users of the service and guaranteeing their right to file complaints with such agency.

Where the securities firm does not remove him her from his her post, the securities regulatory agency under the State Council shall order it to do.

The restrictions were primarily applicable to local staff, who comprised 99 per cent of all Agency staff in the West Bank and Gaza fields.

The restrictions were primarily applicable to local staff, who comprised 99 per cent of all Agency staff in the West Bank and Gaza fields.

Regulatory issues

Regulatory action

If customers find incompliance between related information record and the fact, he can claim to the securities firm or the securities regulatory agency under the State Council.

(ii) 1998 2002 Director General of The Independent Media Commission (later the Communications Regulatory Agency, www.cra.ba) in Sarajevo (EU and the USA. cf. the Dayton Peace Agreement)

during business operation of the securities firm, it can apply to the securities regulatory agency under the State Council for adjustment of its business scope based on the financial performance, internal control level, regulatory compliance degree, business management capability of officers and quantity of professionals.

After a securities firm acquiring business license for the securities or domestic branch issued or changed by the corporate registration agency, it should apply to the securities regulatory agency under the State Council for issuing or changing license for securities business.

If two or more securities firms are controlled by one agency or person, or have controlling relationship with each other, they shall not run the same securities business, except for otherwise prescribed by the securities regulatory agency under the State Council.

55. The choice of a centralized agency or a multi agency approach and the scope of the activities of agency authorities are a function of the diversity of country situations, for example in terms of their levels of economic development, the commercial and regulatory environment, or the existing business culture.