SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019 Unofficial Translation 14 June 2021 Attn: President of the Association of
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
/3 Viphavadi-Rangsit Road, Chomphon Subdistrict Chatuchak District, Bangkok 10900 www.sec.co.th Tel: 0-2033-9999 Fax: 0-2033-9660 27 January 2021 Attention: President of the Association of Thai
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines” means guidelines concerning risk
” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines
Thai Investors Association has assessed the 2020 Annual General Meeting of Shareholders of the company with the full score of 100 for the 8th consecutive year. Assessment Result of Corporate Governance