No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

evaluation of controls on complex systems; and · effect of Internet and e-commerce. 2 How is firm dealing with greater use of computer technology - at firm: · use of intelligent software to carry out audit

Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows

virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to

nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to

Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification

operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline