Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1

Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of

reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in

/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company

big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force

Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board

Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to

Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address