SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English

under the Innovation Development Program to Support Provision of Capital Market Services [regulatory sandbox]. “ fee ” means a fee for undertaking business according to license; “ Exchange ” means the

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By

): [  ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [  ] Director

Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the

Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) , Section 114 and Section 116 of the Securities and Exchange Act B.E

____________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) , Section 114 and Section 116 of

2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of Securities and Exchange Commission