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

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

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

shall include the following details: 7.3.1 Information on each appointed subcommittee. For example, the Audit Committee, the Executive Board of Directors, the Risk Management Committee, the Selection

concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by the board of directors or a working committee appointed by the

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

outsourcing policy having been approved by the board of directors of the intermediary or the committee assigned by the board of directors thereof. Additionally, such policy shall have minimum details as

approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its