such contract (if any). Any asset used as a collateral shall be identified together with the limit of the obligations. In the case where the Company or a subsidiary has intangible assets which are

behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the

brokerage fees which the company has received from undertaking the securities brokerage. In case where the company submit a purchasing orders via other securities company, it shall identified as a net

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

or promissory notes shall not have any restriction to redeem before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without

clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products

Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the

tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market

asset used as a collateral shall be identified together with the limit of the obligations. In cases where the Company or a subsidiary has intangible assets which are significant to business undertaking