Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining

: .............................................................Juristic Person Registration No............................... head office located at

: 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

calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for

derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business

) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6

, telephone number, facsimile number, amount and type of the total sold shares of the juristic person whereby the Company holds at least 10 percent of such shares; and (3) Names, locations, telephone numbers

variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with

ของระบบสารสนเทศด้านบุคลากร (human resource security) 2.4 การบริหารจัดการทรัพย์สินสารสนเทศ (asset management) 2.5 การควบคุมการเข้าถึงข้อมูลและระบบสารสนเทศ (access control) 2.6 การควบคุมการเข้ารหัสข้อมูล

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the