of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
; (9) dissolution of the mutual fund; (10) channels and methods for filing complaints, and dispute resolution by arbitration and the procedure for submitting a dispute to arbitration. Clause 10 Warnings
regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of
compliance with the notification of the Securities and Exchange Commission governing determination for securities company regarding complaint handling and entering into the Office’s arbitration process for the
issuer or its significant subsidiaries. C. Legal Proceedings Provide information on any legal or arbitration proceedings (including any governmental proceedings pending or known to be contemplated) that
Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient system relating to operational management
SEC Office’s Project to Resolve Disputes by Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient