strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By

technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have

Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of

Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall

to invest in such product, the intermediary shall provide an independent or senior employee working at the place of service to perform the following requirements: (a) examining the procedure for

respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree