taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of

. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 31/2544 Re: Determination of Rules and Procedures for Actions by

Review Report) the results of the inspections with specific corrective actions? 3 Does the firm communicate the results of the inspections at least annually to engagement partners and other appropriate

mutual fund with the Office; (6) transferring ownership of any remaining assets to the Office; (7) undertaking any other actions as deemed necessary for the completion of the liquidation; The liquidator

procedures; (3) engage an independent auditor to process and report the results of the actions under (1) and (2) and any deviation detected and the results of correction to the board of directors or the audit

and appropriate actions until a new trustee is completely vested with the trust property; (3) in cases where the trustee is dismissed, temporarily suspended from its undertaking of trust business or

structure, operational systems or other events which significantly affect the operations, intermediaries shall take the actions required under (1) without delay. Clause 9 In the event that a major operational

receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 5 An approved person shall take the following actions

following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the