NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Office of the Securities and Exchange Commission (Translation) (Translation) - 8 - Readers should be aware that only the original Thai text has legal force and that this English

The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and

Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of

and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the

remain in accordance with the rules regarding outsourced function as prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, including the operational

undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information