Hong Kong Regulations

SECURITIES AND FUTURES (CLIENT MONEY) RULES - SECT 11

Reporting of non-compliance with certain provisions of these Rules

If a licensed corporation or an associated entity of a licensed corporation to
which section 4(1) or (4) or 5(1) applies becomes aware that it does not
comply with such section, it shall, within one business day thereafter, give
written notice of that fact to the Commission.