Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

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

and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees

: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on

defined by the Notification of the Securities and Exchange Commission concerning Determination of Definitions of Institutional Investor and High Net Worth Investor ; (6/1) “ high net worth investor ” means

. ---------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses

; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the

with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy