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compliance and oversight framework in place, and to notify the SC of any occurrence of the non-compliance and any other events that have a material adverse impact on investors. • RRs must at all time satisfy

https://www.sec.or.th/EN/Documents/BusinessOperator/summaryACMF.pdf

Translation

: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21

https://publish.sec.or.th/nrs/4151pe.doc

Microsoft Word - sornor5_2550_e_finalสายงาน.doc

https://publish.sec.or.th/nrs/4151se.pdf

QAQR-05.xlsx

conclusions resulting from consultation documented? 2 Are there sufficient resources available to enable appropriate consultation to take place? If yes, please state the resources available and respond to the

https://www.sec.or.th/TH/Documents/Auditor/QAQR-05.xlsx

Unofficial Translation

, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this

https://publish.sec.or.th/nrs/7065pe.doc

...

regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk

https://publish.sec.or.th/nrs/4399pe.doc