notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act

written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the notification of the SEC Office. A

management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of

proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of assets of any

the management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the

Company’ s major shareholder in respect of execution of the office building space lease agreements, which are deemed connected transactions in the category of short-term rent/ lease of real property in

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange

Companies and Derivatives Intermediaries 06/09/2013 01/04/2014   Notification of the Office of the Securities and Exchange Commission   Sor Thor. 14/2558 Rules in Detail on the Protection and Management of

/2014   Notification of the Office of the Securities and Exchange Commission   Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015

, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries 06/09/2013 01/04/2014   Notification of the Office of the Securities and Exchange Commission   Sor