Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
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
(Renewable) • A CMSL holder is accountable and responsible to monitor its RR and must comply with the requirements and conditions as prescribe by the SC including reporting requirements, to have proper
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls