. Kitisan – to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money. This case is under consideration
sale money. This case is under consideration of the public prosecutor. SEC Act S.89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code Criminal Complaint Filed with an
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such
perform his or her duties in accordance with this notification. The securities company shall inform its client about the appointment of an agent to the client’s assets without delay. In the case where the