to develop appropriate policies and procedures. 10 Describe how the firm continually evaluates client relationships, other non-audit services, and specific engagements so that commercial considerations

regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities

have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory

for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the

company selects the total net balance at the end of present working day as a base, the securities company shall continually use such method for calculation at all times, except in case of necessity where

continually use such method for calculation at all times, except in case of necessity where the securities company is unable to use such method, it may use the total net balance at the end of the prior working

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...