Notification shall come into force as from 16 December 2004. Notified this 22nd Day of December 2004. Somkid Jatusripitak (Mr. Somkid Jatusripitak) Minister of Finance Chairman of the Securities and Exchange
(Mr. Somkid Jatusripitak) Minister of Finance Chairman of the Securities and Exchange Commission (Translation) Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management
branch offices or facilitate customer to use service from other securities company. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and
customer to use service from other securities company. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Remark: The reason
this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing this Notification is that the derivatives broker
operation of such branch office continues. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing
the Permanent Secretary, the Prime Minister Meetings of the personnel management committee/meetings of the SEC Board and meetings of the Good Governance Subcommittee Relevant committees ITA Project
within thirty days from the date when the Minister or the Securities and Exchange Commission approves the termination of business or revocation of license, as the case may be. Clause 15 Licensees shall