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

Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the

the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch

have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products

Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the

tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market

agreement recognized by the SEC Office; (c) having repayment period of the transaction not exceeding ninety days; (d) value of securities received from repurchase transaction as of the commencing date of

Settlement (BIS). (2) an audit firm, whose auditors are recognized by the SEC Office to be an auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission

following regulatory agencies which is located in a country whose supervisory measures on investment management are recognized by the SEC Office: (a) a regulatory agency which is a member of the International

Office or the organizations recognized by the SEC Office, as specified in the tables of qualifications for each category of personnel as attached to this Notification. Clause 14 Personnel in the capital