secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to
license type C , as the case may be, at all time during its undertaking of derivatives business. If the derivatives business licensee fails to satisfy any condition set out under Paragraph 1, the Securities
governance meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: (1) policy on the governance of information technology
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
notification under Section 58; (4) fail to meet the conditions under Section 56. SECTION 61 In avoidance of conflicts with other laws when applying trust for transactions in the capital market, it shall proceed
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 8. Fees for application and issuance of license for undertaking
the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to