Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the company; (3) prepare the

person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image

) O No (4) Was dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office

dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office ……………………………….…….………. Detail of

by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause

from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with

the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities

intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association

realize the practice in accordance with the relevant rules and regulations of the SEC and the SET. In order to prevent this type of misconduct in the future by considering the connected transaction must be

this type of misconduct in the future by considering the connected transaction must be approved by the Board of Directors’ meeting with the directors with the conflict of interest have no right to vote