Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling

: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund

(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a

borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its

Narcotics Control Board (ONCB), etc.; Audit firms; Regulatory agencies relevant to local and foreign capital markets; Foreign regulatory agencies. In disclosing your personal data to other persons, the SEC

and loss statement, and auditor’s report in at least one local daily newspaper or on its website, and provide the SEC Office with evidence of such publication. The actions in Paragraph 1 shall be taken