responsible person under 6.1 Located at the online branch office Not located at the online branch office, being: Officer from the Head Office Branch manager of a full branch office Located at

is strictly for reference. PAGE 2 Notification of the Office of the Securities and Exchange Commission No. SorThor. 67/2558 Re: Official Holidays of Securities Companies and Derivatives Business

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of

Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives

it is in the beginning or ongoing period, disclose the operating period for investors’ information. In the case where the Company has not prepared the greenhouse gas emission information, specify “no

optionally covering the scope of actions. In case of no resolution on such policy or implementation not yet taken, it should be proposed that the board of directors pass a resolution acknowledging their duty

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

a regulatory agency under Paragraph 1(2), but the regulatory agency is not located in a country whose supervisory measures are recognized by the SEC Office, the intermediary shall demonstrate the

under supervision of the jurisdiction wherein such regulatory agency is located shall not be less than the regulations of the SEC Office; (c) a central bank which is a member of the Bank for International