) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of

rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk

into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already

and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and

_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and

, risk and return of services or capital market products entirely before making a decision to use the services; (6) not urge the client to make a decision to invest [in capital market products ], but shall

considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for

SEC Office. Clause 6 In case the SEC Office has considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the