with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the

the fund project contains anything contradicting to any of the rules prescribed in the said law, notifications, regulations or orders, the management company shall make an amendment to the said

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

2007 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or

regulatory action (paragraph number......) ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph number........) ( 5.4 Amendment of

pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3