shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager

shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager

securities; “securities investment analyst” 45 (repealed); “office” means the Office of the Securities and Exchange Commission. 2 As amended by the Notification of the Securities and Exchange Commission No

or the suitability of investing in such securities; “securities investment analyst” 45 (repealed); “office” means the Office of the Securities and Exchange Commission. 2 As amended by the Notification

and Executives of Securities Companies (No.2) dated 1 February 2010. 2 Repealed and replaced by the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 5/2553 Re: Qualifications

: Calculation and Report of Net Liquid Capital Calculation dated 8 May 2006 shall be repealed and replaced with Part 3, Page 1 to Page 3 of the Form attached hereto. Clause 2. Page 3, Page 5, Page 6, Page 17

: Calculation and Report of Net Liquid Capital Calculation dated 8 May 2006 shall be repealed and replaced with Part 3, Page 1 to Page 3 of the Form attached hereto. Clause 2. Page 3, Page 5, Page 6, Page 17

offence against property; (5) being a person under the following conditions: (a) his obtaining approval has been suspended or revoked by the SEC Office, or he possesses a characteristic which causes the

Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (No.2) dated 1 February 2010. 2 Repealed and replaced by the Notification of the Capital Market Supervisory Board No

or executives in securities issuing company or securities company, or his obtaining approval has been suspended or revoked by the SEC Office, or he possesses a characteristic which causes the approval