(Unofficial Translation) Having adequate security system for document and information e.g. prescription of the area for concerned personal 1.1.3 Supervision of the Line of Operation (1) Having a system for
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
SEC Office’s Project to Resolve Disputes by Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient
dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the
securities business, or the dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve
resolve the Company’s liabilities. 12. Opinion of the Audit Committee and/or opinion of the director which is different from the opinion of the Board under Clause 11 All directors of the Company have the
resources such as setting up a team for a specific off-site booth, etc. The Company anticipates that if the situation resolve to near normal and the implementation of vaccination against the spread of COVID