part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses, which are under direct supervision
the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
shall be exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent
of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of the capital not having any prohibited characteristics as specified in the Notification of the
relevant Notification of the Capital Market Supervisory Board relative to Prohibited Characteristics of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of
system • Holding a lecture on Governance, Risk Management and Compliance (GRC) for executives and employees of KASIKORNBANK (CHINA) CO., LTD. • Holding the 2019 General Meeting of Shareholders in