. Clause 6 In the event that, prior to the effective date of this Notification, the securities company has existing subordinated liabilities, which are not included in the calculation of the total
companies, guidelines under the first paragraph shall require the employee to inform securities company about the existing of such account including the information of securities trading of the spouse and
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or (2) contains the client’s name
’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December 2009. Clause 33 All notifications of the SEC Office, orders and
this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
existing clients of whom the securities company has no records in completion by 31 December 2009. Clause 25 All notifications of the SEC Office, orders and circulars issued under or prescribing guidelines
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities