undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

purpose of the provision in the first paragraph, a beneficial owner of shares includes any beneficial owner of shares prescribed under the fourth paragraph of Section 25; (12) “Ministerial Regulation

of shares prescribed under Paragraph 4 of Section 25; (12) “ Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business ” means the Ministerial Regulation Concerning

Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation

Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation

Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act