holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
that it is aware of the applicable independence, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt