proceedings and enforcement steps in such case are subject to the Civil Procedure Code. In this regard, the civil penalty and the compensation at an equal amount to the benefit received or should have been
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
has performed its duty with honesty and has carefully preserved the benefit of the Company in relation to such increase of the registered capital. However, in the case that such performance of duty
capital increase and share allotment Procedure Date Board of Directors’ Meeting No. 9/2017 to approve the increase of registered capital, the allocation of newly issued ordinary shares and related matters
Directors of the Company passes a resolution approving the capital increase and share allotment Procedure Date Board of Directors’ Meeting No. 9/2017 to approve the increase of registered capital, the
shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall