. If the custodian receives a notification from its clients in order to switch to another custodian, the custodian shall hand over the assets to the other custodian within fifteen days. Clause 10. The

. Clause 17 Information shall be classified in terms of sensitivity and other IT assets (i.e., systems asset and equipment asset) shall be classified in terms of criticality in order that such IT assets are

client or client’s authorized person. Clause 10. A securities company shall not utilize the client’s assets for the benefits of other clients, other persons or for itself unless it receives an order or

assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating

the client ’s asset which is under the following rules: (a) in case the client ’s assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to

and other IT assets (i.e., systems asset and equipment asset) shall be classified in terms of criticality in order that such IT assets are given an appropriate level of protection in accordance with

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not

reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and