SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.

date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.

mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on

markets shall meet the following rules: (1) comply with rules set forth in Clause 7(1), or (2) if not passing the examination on course specified in Clause 7(1), having attended a full course relating to

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

proceedings to the solution is deemed final, unless otherwise specified by the Office. Clause 5 This Notification shall come into force from 1 December 2005. Notified this 14th day of November 2005 (Mr

year shall be completed within twenty-one days from the date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise

Office which is not more than 3 years before the expected date of establishing a branch office or before the date of submitting the application for establishing a branch office, or otherwise having

the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the

every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of