Office. Clause 9 All Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines for compliance with the Notification of the
compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February 2006 which have
guidelines for compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February
is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration
fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration who is a
capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance, internal audit or
products in the capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance