approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no

be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2) controlling, supervising and managing business units relating to

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

) Shareholder equity in amount of……………….….………….…Baht 2. Information of prohibited characteristics: 2.1 Up to present; (1) Is a person whose name is on the black list or the list of persons whom the Stock Exchange

] · Keeping a program of prior to developed version for use in case of present version is out of work. [M] 2.6 Post-implementation test · Determining a test of developed or altered operational system after

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5