derivatives as follows: Approval for Category A Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management. * Having passed a course on relevant businesses knowledge and

product และดำเนินการให้มี sales process ที่สอดคล้องด้วย 3.1.5 sales process เพิ่มเติมสำหรับการขาย risky / complex product (1) การประเมินความรู้ความสามารถในการลงทุน (“knowledge assessment”) ของลูกค้า มี

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

or investing in capital market product whether or not the analysis is fundamental or technical, in conjunction with such consultation. “ fundamental analysis ” means an analysis to seek an appropriate

whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

an independent director. In case of the Audit Committee, identify the names of the members who have the knowledge and experience in auditing the Company’s financial statements and specify their

knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief