investment management operations and related functions to be complied with all applicable legal and regulatory requirements, a clear annual audit plan and procedures for control and audit in which compliance

reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue

: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or

documentation on an annual basis. 12 Has the firm developed or adopted other quality control materials? If “yes,” describe those materials: 28

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the

. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

business shall be five hundred baht; (2) the license fee for an association related to securities business shall be fifty thousand baht per year; The annual license fee for an association related to

management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht