2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016

comply with the following regulations: (1) the fundamental analysis report shall be made according to guidelines prescribed by Association of Thai Securities Companies approved by the SEC office; (2) the

mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset

auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines

). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her

reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to

Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision