) 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
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
customer; 11 (e) proceeds remain from the sale of customer’s securities held by a derivatives business operator for the account of such customer as a result of his default pursuant to Section 36; (f)2 any
exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this regard, such attendance shall continue from the previous
date of this Notification shall continue to be listed in the register of person qualified to be property fund manager and perform the duties of fund manager until 31 December 2011. Clause 15 . For any
function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the
the SEC Office, and shall continue the maintenance of such documentation for at least five years from the termination date of the agreement with a client . The provisions in Paragraph 1, Paragraph 2
, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of Category A investor contact until 31 December 2011
into force by virtue of the transitional provisions under the repealed notifications as defined by Clause 40, which are applicable before this Notification comes into force, shall remain in full force to
applicable before this Notification comes into force, shall remain in full force to the extent that they are neither inconsistent with nor contrary to the provisions of this Notification until Notifications