supplementary documents are true and complete and do not contain any false statement or omit any fact that should have been expressly disclosed in material respects; (b) I hereby acknowledge and give my
management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial
or omit any other action as prescribed by the SEC Office to ensure that the intermedairy will be able to regain the maintenance of capital in accordance with the Notification concerning Maintenance of
this Notification or has improper conducts, the SEC Office may order such person to rectify, act or omit from any act for compliance with this Notification. Clause 10 All notifications of the Office of
1 satang per contract. In any case, the calculation of fee based on the number of derivatives contracts under Paragraph 1 shall exclude derivatives with agricultural product underlying. Clause 14
exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are
inappropriately regarding securities dealing, the SEC Office may order such securities company to rectify, act or omit to act in compliance with this Notification. Chapter 4 Transitional Provisions Clause 24 A
Notification, the SEC Office may order such management company to rectify, operate or omit from any acts in order to comply with the rules as prescribed in this Notification, or suspend the approval for