Control under the Foreign Exchange Rule Reform Program Phase 2 per Notification of the Ministry of Finance Re: Foreign Exchange Control (No. 8), Notification of the Ministry of Finance Re: Minister’s
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
amount of 4,017,600 baht. The transaction size is considered according to the middle size of connected transaction of listed company rule, which is worth over 1 million baht but less than 20 million baht
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
acting as the borrower or its agent or the lender or its agent, shall: (1) conduct counterparty risk analysis and arrange for collateral to be provided by the borrower in accordance with the rule under
provided by the borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its
% of its registered capital, par value of 100 Baht, with total amount 40 Million Baht. The transaction size calculated according to the acquisition of assets listed company rule, the total consideration
control system in respect of giving advice, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2)5 providing a compliance