termination of contract, as the case may be, in the form as specified by the Office in advance. Clause 9. In purchasing investment units under clause 8(3), mutual fund management company shall operate with

technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have

under Clause 2(5) as of the date when the application is filed. To be able to make any changes to the operational systems under Clause 2(4), the fund supervisor shall notify the Office in advance in

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

commitment or the fund project without any delay. Division 2 Allotting and Offering for Sale of the Fund Units _______________ Clause 24/1 2 In this Division: “ listed company ” means a company whose shares

structure, operational systems or other events which significantly affect the operations, intermediaries shall take the actions required under (1) without delay. Clause 9 In the event that a major operational

(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be