Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess the BCP of the main service providers, by which

following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

deliver yet xxx xxx 4. total binding securities xxx xxx (3) Investments in debt instrument under the remain period of contract It shall disclose current period detail and comparative period, as follow 20

information technology governance policy, which contains at least the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable