arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform
the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has
cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business
management arrangement and shall be filed with the Office before proceeding with the fund management under the contract. Clause 2 This Notification shall come into force as from 16 August 2009. Notified this
auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the