assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases

shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is

cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information shall be revised and

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no

Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and

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

negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such

: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5

notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act