system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and

of submitting application to the SEC Office: (a) having been finally sentenced for misconduct as specified in sub clause (3) in case of juristic person; (b) having been finally sentenced to

Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the company; (3) prepare the

person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image

dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office ……………………………….…….………. Detail of

by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause

from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with

realize the practice in accordance with the relevant rules and regulations of the SEC and the SET. In order to prevent this type of misconduct in the future by considering the connected transaction must be

this type of misconduct in the future by considering the connected transaction must be approved by the Board of Directors’ meeting with the directors with the conflict of interest have no right to vote

Group 3: (1) having a reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii