Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Describe the operating results and the results related to environmental management, only in material issues in the business operational process, for example, management of power, water, garbage, waste and

operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating

financial condition and the operating results of the current year; - Minimum description shall cover operational overview, impacts of major incidents or factors. This includes business/company merger

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

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

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

from the date on which the disruption occurs. Once the major operational disruption ends, intermediaries shall notify the SEC without delay. Clause 10 Intermediaries shall keep documents and evidence