risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By

Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent

of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of

who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two

Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of

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

. 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