an application with the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In applying for license
the rules specified under Clause 2, the Office shall notify the securities company of the termination of approval. In this regard, the provision in the second paragraph of Clause 3 shall apply, mutatis
information. In the case where the Office considers that such change of information results in non-compliance with the rules specified under Clause 2, the Office shall notify the securities company of the
report shall be made every thirty days until the proceeding to the solution is deemed final, unless otherwise specified by the SEC Office. Clause 5 Any Notifications of the Office of the Securities and
be made every thirty days until the proceeding to the solution is deemed final, unless otherwise specified by the SEC Office. Clause 5 Any Notifications of the Office of the Securities and Exchange
other securities as specified in the notification of the SEC Office” Clause 3. The provision of Clause 8 and Clause 9 of the Notifications of the Capital Market Supervisory Board No.Tor.Thor. 1/2551 Re
the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by the SEC Office. Clause 15 The derivatives broker shall keep records of
repayment ability of each client. In performing the duty in accordance with the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by