status of the matter, please go to compliant filed with inquiry officer
derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
-month of the year 2016 ended June 30, 2016. The Company’s overall performance can be summarized as follows. DCORP would like to summarize the overview of the consolidated company’s performance for the
Business Operator in the Category of Derivatives Broker and Derivatives Dealer (codified as of 08/10/2004) (Synopsis) 23/01/2004 06/01/2004 Notification of the Office of the Securities and Exchange
Exchange Commission OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (codified as of 09/03/2004) (Synopsis) 19/03/2001 6. Report/Form (Notification of Securities and
Commission 44/2541 03/11/1998 01/01/1999 4. Notification of the Office of the Securities and Exchange Commission 29/2549 (Synopsis) 19/07/2006 5. Report/Form (Notification of Securities and Exchange
Management of Retail Funds,Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (Synopsis) 17/12/2015 16/01/2016 2. Notification of the Office of the Securities
(Synopsis) 17/01/2005 01/03/2005 3. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4
/2546 03/12/2003 01/11/2003 2. Notification of the Securities and Exchange Commission 24/2545 28/03/2002 16/04/2002 3. Notification of the Securities and Exchange Commission 22/2540 (Synopsis
Outsourcing Operational Function relating to Business Operation to Third Party (Synopsis) 17/05/2013 16/06/2013 2. Notification of the Office of the Securities and Exchange Commission 7/2546 23/07/2003