details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC Office to audit those practices. Clause 29. In case where it appears to the SEC

SEC Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for

Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for

Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint

notification of the Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the

notification of the Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the

shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and the person controlling

in writing. There shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and

in writing. There shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and

ordinary shares profile appears in the attachment) ,who are not the connected person of the Company pursuant to the Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 (2008) Re: Rules