is strictly for reference. 5 Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business 1.1.2 Brokerage fees from Derivatives business 1.2 Fees and services incomes
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to