Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows

wipe-out, etc.; (3) determine the types of application services that allow using via mobile devices. Establish a measure for control of access to such application services by taking into consideration

number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly. Additionally, companies should specify additional communication channels, such as SMS

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

ข้อมูลภายใน เช่น ระบบ E-mail / Web Application เป็นต้น · · Mobile push mail โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... · · Laptop/PC โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว

before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________

communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the

Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives

services for customers, the securities company shall open Monday to Friday from 8.30 A.M. till 5.00 P.M. and close on weekend and traditional holidays as notified by the Office on a yearly basis; (2) in case

other securities business, it shall be deemed that the company has been permitted by the Office to establish a branch office to provide private fund management services for customers. Clause 4. In