for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Intermediaries By virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 (2013) Re: Standard Conduct of Business Operation, Management

activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results

data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance

suspending all trading temporality. Division 4 Companies should determine a recovery objective to restore normal operations 4.1 Companies should determine a recovery time to restore normal operation (Recovery

affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the

the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange

derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission

be appeared on the computer screen when unattended or not in use. 8. Operations security 8.1 Operational procedures and responsibilities Objective: To ensure correct and secure operation relating to