Derivative Warrants | PTTE42C1506A | DERIVATIVE CALL WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

Derivative Warrants | PTTE42C1411A | DERIVATIVE CALL WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

Derivative Warrants | PTTE42C1608A | DERIVATIVE CALL WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

Derivative Warrants | PTTE42P1608A | DERIVATIVE PUT WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

Derivative Warrants | PTTE42C1706A | DERIVATIVE CALL WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

Derivative Warrants | PTTE42P1706A | DERIVATIVE PUT WARRANTS ON PTT EXPLORATION AND PRODUCTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

obtaining the clients? instructions.  They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the