defining responsible personnel to report and deal with malware threats; (4) regular reviews of the software and data content of systems supporting critical activities . The presence of any unapproved

securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of

and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit

translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public

Reporting Initiative (GRI); (d) In the case where the Company has prepared the sustainability development report, summarize only the essences of the contents under the four topics on the business

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator

such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

Securities and Exchange Commission No. SorThor/Nor. 8/2551 Re: Reporting of Offshore Securities Investment of Securities Company By virtue of Clause 1 (3) of the Notification of the Securities and Exchange