to the securities company. In this regard, the CIS operator shall certify in writing that such information is the same as the one delivered to investors or submitted to home regulator, as the case may

writing to the Court within the time period prescribed by the Court. The application of Class Action to the offence or liability under the Securities and Exchange Act The characteristics, examples and the

provisions of Domestic Law, the Authorities may cooperate: (a) on an ongoing basis or ad hoc; (b) orally or in writing; and (c) upon request or on their own initiative (i.e. without a formal request). 6

dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business

dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business transactions. Clause 9 A securities company

for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before

consent of the client or the provident fund committee, whichever the case may be, in writing before entering into every such transaction, except in the following cases whereby the management company may

characteristics shall be in effect from the date where there appears the fact according to Clause 5 and the SEC Office has notified, in writing, the person under consideration and the securities company or the

for custody of clients’ assets in accordance with the provisions under this Notification. Such rules and practice guidelines shall be in writing, indicating operating procedures and persons authorized

clients’ assets in accordance with the provisions under this Notification. Such rules and practice guidelines shall be in writing, indicating operating procedures and persons authorized to undertake custody