together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The information shall cover at least the

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

Exchange Commission Governing Undertaking of Other Business of Securities Companies B.E. 2552 (2009) ___________________ Whereas Section 98(8) of the Securities and Exchange Act B.E. 2535 (1992) as amended