following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies

information technology governance policy, which contains at least the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

. An exception is for the mutual fund that offers all investment units to non-Thai residents (country fund). In this case, the management company shall prepare the financial statements in conformity to

, Derivative broker shall not appoint any other person to provide the service exception where the service provided from customer contact person for Derivative broker and outsourcing services according to the SEC

investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in accordance with the criteria prescribed and notified by the SEC Office; (5) in