, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this

complaints relating to customer solicitation arising from the performance of duties of the representative or the employees of the marketing representative of private funds in a similar manner with handling of

similar manner with handling of complaints arising from the performance of duties of its employees. 3 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29

employees of the marketing representative of private funds in a similar manner with handling of complaints arising from the performance of duties of its employees. 3 Repealed for amendment by the Notification

action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the derivatives exchange

arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the

investor will still be responsible for any loss that may arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person

other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. Clause 3. Except as provided by Clause 5, a securities company may use back office service from any

for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services

other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. (Translation) -2- Clause 3. Except as provided by Clause 5, a securities company may use back office