UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015

under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is

revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval

requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at

firm follows to provide reasonable assurance that new or revised regulations, interpretations, or rulings on independence, integrity, and objectivity matters considered appropriate for its practice? 12

: woranat@sec.or.th Version 1.1 – Review 14/5/2018 Version 1.0 – Revised 16/9/2022 แบบประเมินความเสี่ยงด้าน IT และ Cyber Risk สำหรับผู้ประกอบุธุรกิจสินทรัพย์ดิจิทัล

and Thong-ek Law Offices Limited. The staff of the Office of the Securities and Exchange Commission (SEC) has edited and revised the original translation, translated the Amendments to the Act and