dispute will be settled by means of arbitration organized by the SEC Office in accordance with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing
subsidiaries. C. Legal Proceedings Provide information on any legal or arbitration proceedings (including any governmental proceedings pending or known to be contemplated) that may have, or have had in the
, receivership or similar proceedings with respect to the issuer or its significant subsidiaries. C. Legal Proceedings Provide information on any legal or arbitration proceedings (including any governmental
agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing] contract or agreement: (1) derivatives
’ petitions and the policy of settling disputes by arbitration as well as the means for beginning such process, and how? (4) Questions and answers about related persons in the operation of the mutual fund which
similar proceedings with respect to the issuer or its significant subsidiaries. C. Legal Proceedings 1. Provide information on any legal or arbitration proceedings (including any governmental proceedings
with clients in writing. Clause 12 The following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any
following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing