, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of Category A investor contact until 31 December 2011

supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations

concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no

exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this regard, such attendance shall continue from the previous

shares of the company under (b) and shareholding in each level exceeds fifty percent of the total number of shares with voting right of such other companies; (d) a company holding shares of the applicant

date of submission of the application. In this regard, such attendance shall continue from the previous one and shall be required at least once every two calendar years as from the calendar year of

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

holding shares of other companies in all upward levels of shareholding, beginning with the company holding shares of the company under (b) and shareholding in each level exceeds fifty percent of the total

person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager