translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
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No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
enclosed all relevant documents in support of this application, including the completed ASEAN CIS Application Form (as per Appendix II of the Handbook for CIS Operators of ASEAN CISs) which contains
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision