internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to

> ผู้ประกอบธุรกิจต้องดำเนินธุรกิจโดยใช้ความรู้ ความสามารถ และความชำนาญด้วยความเอาใจใส่และระมัดระวัง (3)  การบริหารจัดการและการควบคุม (management and

, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients unfairly. 3 Amended by

contract, shareholding, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients

in order to maintain liquidity and financial flexibility. The Company remains cautious on investment, while seeking various sources of working capital, along with effective control and management of

Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of

Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1

performance recovery by strict cost control and cost reduction management, ramping up asset utilization to manage fixed costs, stop additional investments, and most importantly focus on cash management to