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

drawing lots shall be deemed retirement upon expiration of the term of office. 6 Upon expiration of the term of office of board members, the SEC shall propose a list of experts to the Selection Committee

. Clause 37 The SEC Office, by obtaining an endorsement from the Capital Market Supervisory Board, shall appoint a committee to [i] consider facts and evidence as well as propose opinions to the SEC Office

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

Board, shall appoint a committee to [i] consider facts and evidence as well as propose opinions to the SEC Office relating to the consideration of the grounds for removing a person from the position

approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for

on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by

inter-dealer brokerage company, and registered derivatives intermediary; “ intermediary’s board of directors ” means the board of directors of an or a committee assigned by the board of directors of an

membership; (5) the provisions regarding the number of committee members, the election and appointment procedures, the term of office, the termination of office, and the meetings of the fund committee; (6) the