แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

submission date; (2) name and location of the applicant; (3) name, work experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights

competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles

other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does

) if the management company can demonstrate to the SEC Office that such person has rectified the cause, work system, management structure and operating control, which has caused such person to have the

and internal parties, for example, submission of incident reports to the SEC Office upon an occurrence of an event that affects the IT systems or monitoring of the service provider to ensure that its