circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6

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.

are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct

remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact

benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another

-based. If a long-term leasing contract is made, provide a fact sheet of such contract (only regarding the remaining leasing period and the obligations of the Company under such contract (if any). Any

December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of

paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the