Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)

investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons

this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a

offered for sale in comparison with other mutual funds or collective investment schemes in the same investment policy under the Notification on Standard Conduct of Business shall not apply. Clause 5 The SEC

Kuala Lumpur, The ASEAN Capital Markets Forum (ACMF) today endorsed key initiatives to be implemented in 2017 under the ACMF Action Plan 2016-2020 that aims to create investment and business

participating market operators), investors will be eligible to receive a promotional gift valued at 500 baht. Participating business operators are 22 investment management companies, 14 securities companies, 2

Together’ program, ‘Section 33 We Love Each Other’ and the ‘We Win’ program. Even though these stimulus schemes have helped to offset the effects of weak consumer confidence to some degree, these efforts

suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify __________________________________________________

_____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify