EDITED PAGE (Unofficial translation) PROVIDENT FUND ACT B.E. 2530 * BHUMIBOL ADULYADEJ, REX., Given on the 30th day of November B.E. 2530; Being the 42nd Year of the Present Reign. His Majesty King

securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person

by the Government, the company having problem in debt payment, or in the existence of business the company which is potentially revoked from being the listed company in the securities exchange etc

on the list of Signatory A of the Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any

on the list of Signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any

provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work Experiences2 Having passed the course on business knowledge and regulations related to being category B investor contact from

in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

(3); (b) The licensee having a legal entity in the conglomerate being a securities company obtaining a securities business license type A where the said securities company has been granted a reduction