) 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
Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
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
registration type. Division 3 Termination of Registration _____________ Clause 10 In case where registered derivatives business operator has ceased the status of the juristic person under Clause 4, the
. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Brokerage dated 25 November 2004. Clause 3 In the Notification: (1) “ derivatives business license type Sor-1
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