from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with

from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with

tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

impact analysis and assess potential damages arising from major operational disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations

impact analysis and assess potential damages arising from major operational disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations

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

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

refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are