discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of subsidiaries

: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person

) Page Part 4 Certification of Information Attachments Attachment 1 Details of the directors, executives, controlling persons and company secretary Attachment 2 Details of the directors of the subsidiaries

operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending

compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A

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

Derivatives Intermediaries (No. 2) dated 3 June 2014 , the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is prescribed in details of appointing an independent