reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives