to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies

of the existing trade association as approved by the general meeting of the trade association (if any). Clause 3 After the SEC Office has received the application and considered that the regulations of

where no specific notifications prescribe the rules related to the matters of funds in Paragraph 1, the management company shall comply with other notifications prescribing such rules for general mutual

date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.

Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to

. "SEC Office" means the Office of the Securities and Exchange Commission. "Secretary-General" means the Secretary-General of the Office of the Securities and Exchange Commission. "Minister" means the

. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including

investment units which are entitled to voting; (2) In cases where the resolution is requested by convening a meeting of unitholders, the resolution shall be passed by at least three-fourths of the total