and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are failure to perform pursuant to the

Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to

failure to perform pursuant to the operating system or other measures: (a) punishing directors, executives or other personnel who were involved in the breaching; (b) reimbursing damages or compensating

long term, such as damage on building or place of business or branches, a failure of information technology system, inaccessibility or unusability of building or personnel unable to come for work in both

is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration

prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving

the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in

process organized by the Office shall have the following characteristics: (1) The dispute arising from the respondent’s failure to comply with the contract, the Securities and Exchange Act, the Provident