persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

convenient, expeditious and fair for investors, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as form 16 May

personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a