the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3) back office

of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities

specified in the notification of the Office. In the delegation of management under the first paragraph, the appointment of a marketing agent under the second paragraph and the operation of the back office

Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force from the day following the date of its publication in the Government Gazette except

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

Exchange Act (No.4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 This Notification shall come into force on 1 September 2009. Clause 2 The Notification of the Capital Market Supervisory

management under paragraph one hereof, or in the back office operation, the management company shall carefully consider selecting such persons suitable for the tasks to be designated, and shall also ensure