Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

such member in order to make payment to such member within the period prescribed by law and record the operation for using as an evidence 1.2.2 Fund Member Registry and the Allocation of the Contribution

well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order that the client would realize the importance of asset allocation and

such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are

of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a

in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of

5(1). 2. The policy on the allocation and management of information technology resources under Clause 5(2) should be in line with the corporate strategic plan in order to achieve the goals in

mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for