been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

company shall notify the Office within fourteen days from the date of the change of such information. In the case where the Office considers that such change of information results in non-compliance with

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall

license within sixty days from the date on which the Office receives the complete application and supplementary documents, the Securities and Exchange Commission shall complete its consideration for

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business