Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being
association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession
under the provisions of other laws: O yes O no 6.6 Being a political official: O yes O no Form as of 25 July 2006 (Translation) 6.7 Being a government official with the duties to supervise securities
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying