reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue

the category of derivatives brokerage limited to precious metal derivatives; (7) a commercial bank ; (8) other financial institutions as prescribed by the Securities and Exchange Commission; or (9) a

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and