for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...

1 August 17, 2018 Subject: Capital Increase for Offering for Sale to Specific Investors (Private Placement), Connected Transaction, Amendments to Articles of Association/Objectives of the Company and Determination of the Date of Extraordinary General Meeting of Shareholders No. 1/2018 To: President The Stock Exchange of Thailand Enclosures: 1. Information Memorandum on the Offering of Newly Issued Ordinary Shares to Specific Investors (Private Placement) at the Offering Price with a Discount of...

1 August 17, 2018 Subject: Capital Increase for Offering for Sale to Specific Investors (Private Placement), Connected Transaction, Amendments to Articles of Association/Objectives of the Company and Determination of the Date of Extraordinary General Meeting of Shareholders No. 1/2018 To: President The Stock Exchange of Thailand Enclosures: 1. Information Memorandum on the Offering of Newly Issued Ordinary Shares to Specific Investors (Private Placement) at the Offering Price with a Discount of...

abets, or has involved in or abetted such act of other persons; 7 7. having reasonable grounds to believe that the person neglects or has neglected to conduct proper examination in order to prevent the

Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the

related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any

Clause 15/3, the examination and certification documents of the mutual fund supervisor shall also be attached to the written request for a resolution or the written notice of the meeting; (3) have the

verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the