(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...

UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...

– that our business operations take human rights into consideration. We also monitor suppliers’ business undertakings to ensure strict compliance with the Supplier Code of Conduct, explicitly showing that

concealment of facts that should have been notified explicitly in material matter that may affect the decision making of the shareholders, investors or connected persons; 3. unfair treatment or exploitation of

19 The shareholding structure of an applicant, its subsidiary company and its associated company shall: (1) explicitly reflect both controlling power and interest of the shareholders; (2) have no