Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information handed over to the intermediary as

complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

the transfer of assets, rights and duties of the transferred mutual fund as specified in the fund scheme of the mutual fund which accepts the transfer of assets and the transferred mutual fund is

the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of

customer’s order according to rules prescribed in this Notification; or (2) sale of securities pursuant to the customer’s order where the customer has not yet delivered possession of such securities to the

receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the buyer’s loss equals the amount of premium. A seller

receipt of such payment; (c) money from securities selling, which the securities company receives on behalf of the client and already issued a cheque for payment or delivered such money to the client within