or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the

investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents

requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face

relation to sources of funds used for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate

controls prior to requesting for approval from senior management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on

for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the

, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the appointed working group. The BCP as such should be kept at place of business, either inside or

management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into such transaction

mutual fund management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into

) (CNES and other subcontractors under facilitation of CNES) is below THB 50 Million, the Management is seeking Board of Directors approval for the project as the total aggregate amount of the project is