) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
may affect the company, fund and client or investor to reduce the risk and damage that may possibly be incurred and to allow the company to continue its businesses that are significant and necessary
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
claimant no longer intends to continue the arbitratal proceeding and the Office shall terminate the proceeding for such dispute, except where the Office deems it necessary and appropriate; (2) after the
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
securities company shall continue to operate within the permitted opening hours and days. Clause 9. This Notification shall come into force as from 16 June 2008. Notified this 4th day of June 2008. (Mr