Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the

correctly; (2) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at

Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1

) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at least once a year

into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for

Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

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

as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of