the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of Funds dated 20 July 2009, the Office of the Securities and Exchange
result of the client’s risk profile and investment objective within the scope of the house view investment guidelines. In the case where the client intends to invest in a capital market product
providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the SEC Office under the Notification of the Capital Market Supervisory
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 The derivatives broker may not reduce the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By