evidence regarding securities trading and maintain such evidence up-to-date for at least five years from the transaction date and the maintenance of such evidence for the first two years shall be in the from
securities trading to the subject securities companies within the fifteenth day of the following month, including other information pertaining to such securities trading account which is beneficial for
making decisions on securities trading for the securities company [proprietary trading]. Clause 7 A securities company shall separate the work units and personnel responsible for securities trading [front
units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for making decisions on securities trading for
incidents which may cause major operational disruptions Notified this 21st day of October 2016. (Mr. Rapee Sucharitakul) Secretary-General Office of Securities and Exchange Commission Appendix Division 1
operational disruptions Notified this 21st day of October 2016. (Mr. Rapee Sucharitakul) Secretary-General Office of Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only
limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque
securities trading center by virtue of such laws and governed by government agencies or securities regulators (regulated exchange); “Allotted quota” means quota of foreign securities or derivatives investment