appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

this regard, the respondent may file a counterclaim together with a letter indicating his intention relating to the above mediation. Clause 13. If the mediation of dispute is successful, the parties

major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information

event of major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information

securities business in the category of private fund management. Parties shall be regarded as the juristic entities under the same business group under the first paragraph if: (1) The party that manages funds

securities and exchange or within a time period agreed upon by the parties to the trading of securities, as the case may be. In the case of a short sale pursuant to the customer’s order, the securities company

. Network firms of the Audit Firm and the related parties of the Audit Firm (if any) (a) Illustrate the relationship structure of the Audit Firm with the network firms of the Audit Firm and the related

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a

) Photocopy of the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm’s internal monitoring Signature