and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
the compensation for the membership fee of a website, etc.; (2) the owner of a website or any other electronic media giving a channel for the general public to express an opinion or share knowledge or
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
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
that the management company is going to use the online branch as a channel to provide information on selling of investment units or to provide investment advice or to solicit customers with private fund
proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4) rights, duties, liabilities and conditions in part of the client , or an obligation binding the
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are
regulatory authority for information technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Clause 11 An intermediary