case where the Notification of the Securities and Exchange Commission, the Notification of the Capital Market Supervisory Board or the Notification of the Office of the Securities and Exchange Commission

virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the

virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the

1(1) (2) or (3) who has notified and excecuted the intention to comply with the Notification of the Capital Market Supervisory Board concerning Temporary Rules for Undertaking Business of Certain

to a licensee under Paragraph 1(1) (2) or (3) who has notified and excecuted the intention to comply with the Notification of the Capital Market Supervisory Board concerning Temporary Rules for

Ministry of Finance; (4) Do not have directors, managers or persons who are ultimately responsible for management of the fund supervisor as delegated by the board of directors of the fund supervisor as a

; (4) Do not have directors, managers or persons who are ultimately responsible for management of the fund supervisor as delegated by the board of directors of the fund supervisor as a directors

; (4) Do not have directors, managers or persons who are ultimately responsible for management of the fund supervisor as delegated by the board of directors of the fund supervisor as a directors

technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. Clause 3. The securities company shall provide an inspection of information

technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. (Translation) - 2 - Clause 3. The securities company shall provide an