clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

of the fair value of any asset, a value that follows an academic principle that is recognized or complies international standards shall be used. Clause 13 In case the fund applied for the establishment

for which member: current member: new member: including member who has not paid money to the fund (b) in cases where abnormalities related to the amount of money payable to the fund have been detected

such contract (if any). Any asset used as a collateral shall be identified together with the limit of the obligations. In the case where the Company or a subsidiary has intangible assets which are

behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the

brokerage fees which the company has received from undertaking the securities brokerage. In case where the company submit a purchasing orders via other securities company, it shall identified as a net

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

or promissory notes shall not have any restriction to redeem before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without