against property, or lacking due care, loyalty or practice on code of conduct as a professional. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it

. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it shall be deemed that such demeanors are prohibited characteristics in Group 3: (1) having a

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

) 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

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

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

uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph