approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no

notification of the SEC. “derivatives fund manager” means any person who, in the ordinary course of business, engages in the business of managing funds for others, or holds himself out to the general public as

work for such persons to have full or partial managing power in the securities company.

shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of

concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means

of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following