RI Client Solutions Book PUBLIC PUBLIC             PUBLIC PUBLIC PUBLIC       PUBLIC   Environment Society Company PUBLIC o o o         PUBLIC o o o o ° PUBLIC o o o

for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the client by

for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the client by

client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing

client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing

company licensed to undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint

company licensed to undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint

103 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration

103 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration

General Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a