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company for which the applicant has affixed signature in giving opinions on financial statements of the latest year No. Name of Com-pany For the period ended on Type of business No. of sub-sidiaries

Commission hereby issues the following regulations: Clause 1. In this Notification, (1) “Securities company” means any company licensed to undertake securities business in the category of securities brokerage

Notification: “ business operator ” means: (1) a securities company licensed to undertake securities business in the category of securities brokerage or securities dealing which is not limited to debt securities

: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21

Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business

activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results