process as necessary. Chapter 2 Criteria for Approval to Use Back Office Service Clause 5 Except as specified in Clause 7, derivatives broker can use back office service from service provider that has

the Office or no longer works for the securities company which has submitted the application for approval in case the investor contact has obtained approval through such qualifications. Chapter 4

concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no

that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying

receipt of the copy of the statement of claim. If the respondent fails to inform his intention within such period of time, it shall be deemed that the respondent no longer has the intention to mediate. In

Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means

additional steps as follows: 2.1 put in place, if no longer required, a removal process of information stored on media to prevent information leakage; 2.2 define media disposal procedures when no longer

liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for

having no short-term issue rating or in case of depositing or investing in certificate of deposit under Paragraph 1(1) (a) 1. of clause 18, the securities company shall use rating of issuer of certificate

for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550