by the Office under the first paragraph, the approval under Clause 2/1 shall be deemed terminated. Clause 12. Repealed . Clause 13. In the case where an investment advisory agent is employed by more

clearly specified in the scheme by the mutual fund management company . (2) in case of the preparation of the financial statements for a mutual fund that is terminated within fifteen months as from the

clearly specified in the scheme by the mutual fund management company. (2) in case of the preparation of the financial statements for a mutual fund that is terminated within fifteen months as from the

clearly specified in the scheme by the mutual fund management company. (2) in case of the preparation of the financial statements for a mutual fund that is terminated within fifteen months as from the

relating to any volume limitations on sales and conditions under which the agreement may be terminated. If known, disclose the identity of the broker(s) or dealer(s) that will participate in the public

with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007

, for at least 5 years from the date the account is closed /the business relationship with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access

those in relation to suspicious transaction reporting, for at least 5 years from the date the account is closed /the business relationship with the client is terminated. Such documents and information

terminated if the investor contact has the following characteristics: (1) ceases to be Manager of the securities company or any equivalent position called otherwise who take the highest responsibility in the

for investor contact from the Office shall be deemed terminated if the investor contact has the following characteristics: (1) ceases to be Manager of the securities company or any equivalent position