Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as

undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has

to be current at reasonable time or when it appears that the possessed information are incorrect or erroneous. In addition, the intermediary shall have a system for keeping such received information in

approval from the SEC Office to be a personnel in the capital market business and holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1

holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1, the SEC Office shall proceed as follows: (1) in case of prohibited

that the possessed information is incorrect or erroneous. In addition, the intermediary shall have a system for keeping such received information in the manner of being able to reuse in conjunction with

this Notification. Additionally, in case the service provider has lacked qualifications, possessed prohibited characteristics or been no longer suitable to be a service provider, an immediate change of

been an executive involved in causing damage or held jointly responsible for damage arising to a financial institution whose license has been revoked or business operation controlled or suspended because

over the audit firm, business controlled by the audit firm and business under the same control as the audit firm, either directly or indirectly; (c) business under significant influence of the audit firm

, business controlled by the audit firm and business under the same control as the audit firm, either directly or indirectly; (c) business under significant influence of the audit firm; (d) partner or