the business?s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014. The consultation paper is available on

of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational

กองทนุเปิดไทยพาณิชย ์Autonomous Technology and Robotics 1 คาํจํากดัความ / คาํนยิาม : เป็นไปตามประกาศ 1. ชือ่ ประเภท และอายขุองโครงการจดัการกองทนุรวม : 1.1. ชือ่โครงการจัดการ (ไทย) : กองทนุเปิดไทยพาณ

Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of

Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of

Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; UNOFFICIAL TRANSLATION

as follows:           (1)  Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive

guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and

Changes 5 2. Risk Management and Risk Factors 8 2.1 Overall Risk Management 8 2.2 Risk Management 12  Credit Risk Management 12  Market Risk Management 15  Liquidity Risk Management 16  Operational Risk

translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of