UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015

revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as

evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the

record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of

medium thereof shall be kept by the derivatives broker . (2) records of the details of transactions executed for its customers, confirmation statement, evidence of margin call, account of derivatives

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval

requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at

Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or