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

the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6

encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced

supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations

manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A