. 62/2552 Determination for Securities Companies to Proceed with Customer Complaints   03/08/2009 01/09/2009 6. Notification of Capital Market Supervisory Board   63/2552 Rules, Conditions and Procedures

Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to

Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to other auditors of the

knowledge and ability to proceed with the class action case without a conflict of interest with members of the class, and he or she can pay the advance payment for the procedure of class action. 5. Lawyer Fee

House shall prepare and submit one copy of their annual financial statements which have been audited and attached with an opinion by the auditor to the SEC Office and shall proceed as follows: (1

CMDF would be responsible for policy making and overseeing that market development efforts would proceed in the same direction with transparency, accountability and good governance. SEC Secretary-General

application of the law, must have clarified such issues for IFEC. As a result, the SEC has given an order today, instructing the company’s directors to proceed with a shareholders meeting as a matter of

investment company, and shall also issue and impose disciplinary measures on violating listed companies by posting investor alert signs and determining a grace period. In case of failure to proceed as

defaults of payment, for them to have sufficient information to proceed to the next procedures more quickly.SEC has also closely following up with the operation of credit rating agencies, as well as

approval.  However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following