regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
held. Disclose the conditions governing the manner in which such a meeting would be convened, such as quorum requirements, the conditions for being allowed to attend the meeting and the minimum number of
Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions, and Procedures for Establishment and Management of Infrastructure Fund, dated 10 January 2011, the SEC Office hereby issues the following
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for