SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

names appeared on the IFEC certificate, namely, (1) Mr. Suphanan Rittiphairoj (2) Mr. Chatnarong Chattrabhuti and (3) Maj. Gen. Boonlert Jangnopparat, must attend the board meeting on the specified

must be reported and the procedure for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board

must be reported and the procedures for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

access to the information regarding changes of the outsourced companies which might affect the business, or the provisions stipulating that the business providers must have necessary resources and

management companies must provide explanation concerning the funds for investors? understanding and must also take necessary steps to ensure that investors learn of associated risks prior to making investment

housing so as to provide decent housing for low- Access to essential services (affordable housing) • Low-income persons • Number of dwellings (construction/renovation) • Number of beneficiaries 10 Issuer

possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the