regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities

Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and executive director including deputy manager, assistant manager, department director and

คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน

Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means

securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for

mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return

electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past

damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive

hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s

business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the