Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is

(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities

ประกาศคณะกรรมการกำกับตลาดทุน UNOFFICIAL TRANSLATION Codified up to No. 3 As of 4 January 2013 Readers should be aware that only the original Thai text has legal force, and that this English

undertake any responsibility for its accuracy, nor be held liable for any loss or damage arising from or related to its use. PAGE 2 Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Capital Market Supervisory Board

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board

UNOFFICIAL TRANSLATION Codified up to No. 2 As of 5 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4