supervision of…………………………………………………… ……………………...……… (in case of a juristic person under supervision) (4) Type of Business…………………………………………………………… (5) Date of incorporation/registration …………….……. Country

/position (Translation) 1.2 Juristic person (1) Name………………………… Category of juristic person……………… (2) Established under the law………………………………………………… (3) Under the supervision of

supervision. 2 According to Notification of Securities and Exchange Commission Kor Jor. 4/2560 on Determination of Definitions of Institutional Investors, Ultra High Net Worth Investors, and High Net Worth

be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In

investment will be made in the shares issued by the company in Clause 5(5), the applicant shall prove that a supervision is put in place to direct the operation of the company in accordance with the

management procedures to support business operations via each service channel in compliance with the new regulation. 6  Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued

debit / direct credit and an automatic transfer system (ATS). 4.2 Insurances Service is a service to provide life insurance brokerage services and insurance against loss which the customer can choose the

choose the insurance on the needs of customers. 4.3 Mutual Fund Selling Agent Service is a selling agent of the unit trusts for many asset management companies, which offer mutual funds of various types

insurance against loss which the customer can choose the insurance on the needs of customers. LH Financial Group Public Company Limited Management Discussion and Analysis for the Third Quarter ended 30

the customer can choose the insurance on the needs of customers. LH Financial Group Public Company Limited Management Discussion and Analysis for the Third Quarter ended 30 September 2017 Page 7/22 4.3