Advisory Agents dated 3 August 2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities

redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the