. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange Commission ______________________________________________________________________ Remark: The rationale for

____________________________________________________________________ Remark: The rationale for issuing this Notification is to determine an undertaking not deemed as a derivatives dealer to cover offer to trade or trade in derivatives for his own account with person

Commission __________________________________________________________________ Remark: The rationale for issuing this Notification is to determine fee for business undertaking for licensee to undertake business

person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an

reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the

the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to

. Notified this 12th day of March 2008. -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Remark : The rationale for issuing this

. Notified this 12th day of March 2008. -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Remark: The rationale for issuing this notification

rationale for issuing this notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as

Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Chairman Capital Market Supervisory Board __________________________________________________________________ Remark: The rationale