Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (No. 3)

Re: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended)

Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation (No. 2)

Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation

Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking

Handling Procedure​​ ​​​ Samples of Documents or Evidence​ Matters under Supervision of Other Laws​ Whistleblower​ Inquiries​ ​ ​ ​​ Complaint Forms​ Complaints​ / Whistleblowers Matters under the SEC

_____________ · การจัดทำนโยบายและหลักปฏิบัติในการรักษาความปลอดภัยของระบบสารสนเทศ (Information Security Policy and Procedure) 1. บริษัทท่านมีการจัดทำ information security policy อย่างเป็นลายลักษณ์อักษรหรือไม่ ( มี

________________________ ปี _____________ • การจัดท านโยบายและหลกัปฏิบัติในการรักษาความปลอดภัยของระบบสารสนเทศ (Information Security Policy and Procedure) 1. บริษทัท่ำนมีกำรจดัท ำ information security policy อยำ่งเป็นลำยล

procedure; (10) The Financial Institutions Development Fund; (11) The Government pension fund; (12) Mutual funds under the securities and exchange law; (13) Juristic persons with investment fund of Baht one

specific law which are not persons under (9); (7) Bank of Thailand; (8) International financial institutions; (9) Government agencies and state enterprises under the laws on budgetary procedure; (10) The