Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is

intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such

preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to

. Clause 37 The SEC Office, by obtaining an endorsement from the Capital Market Supervisory Board, shall appoint a committee to [i] consider facts and evidence as well as propose opinions to the SEC Office

, Clause 37, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and

derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by

outsourcing policy having been approved by the board of directors of the intermediary or the committee assigned by the board of directors thereof. Additionally, such policy shall have minimum details as