intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities

such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

/Khet…… Province ………… Postcode ……….. Telephone number …………...... Name of householder …………………… Relationship ……….…… 3. Information on level of education and working experience: 3.1 Highest level of

…………… Postal code ……..…….. Telephone number …………….... (5) Highest level of education: Degree Major Name of Institution Year of graduation (6) Working experience (during the past five years): Name of Position

laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions

person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an