UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange

File Description 1 Approval of securities licenses, derivatives licenses trustee license and digital asset license Quarter 4/2024 2 Activation of securities business, derivatives business trustee

Earlier, by virtue of Section 267 of the Securities and Exchange Act of 1992, the SEC, with the approval of the SEC Board, ordered an attachment of assets of 10 entities who were imposed with the

issues such regulations with approval from the SEC.______________________Remarks:   *  Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 7/2562

securities firms or derivatives business operators can be done without the SEC?s approval but will be allowed to the extent that it is deemed necessary to increase business efficiency. Importantly, outsourcing

financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

Microsoft Word - Resolution BD-5-62 _EN_ Page 1/2 November 13, 2019 Subject: Connected transaction - Land and building leasing To : President The Stock Exchange of Thailand The Board of Directors of

: https://publish.sec.or.th/nrs/10367s.pdf; (2) Notification of the Securities and Exchange Commission No. Kor Jor. 27/2567 Re: Rules, Conditions and Procedures for Approval of ICO Portals (No. 12): https

sanction on the capital market auditor in the Securities and Exchange Act and to repeal and replace the provisions on renewal of the approval of the capital market auditor every 5 years with a permanent