management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht

securities underwriting licensee shall pay a fee at the rate of 0.001 percent of the securities underwriting value, excluding investment units . Clause 11 A mutual fund management licensee shall pay a fee

securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator

. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the

companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once

branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest

management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has

procedures and processes in the management of information security incidents under (1) at least once a year and the testing shall at least cover the management of cyber security threats (cyber security drills

personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each

at (date) __________________________ Part C: Distribution of Hong Kong Covered Fund and Hong Kong Covered Management Company’s Local Representative Arrangement for Distribution of Hong Kong Covered