, during the period from 5 January 2009 to 13 October 2009 Numkrit ? then assistant director of UBS International Equity Sale responsible for providing brokerage services to local and foreign institutional

ออสเตรเลีย ญ่ีปุ่น เกำหลีใต ้นิวซีแลนด์ และไทย 1 เช่น เป็น CIS operator ท่ีอยูภ่ำยใตก้ำรก ำกบัดูแลโดยหน่วยงำนก ำกบัดูแลของประเทศตน (home regulator) โดยมีตวัแทนขำยในไทย (local intermediary) ท ำหนำ้ท่ีรับผดิชอบ

ที่สัญญาอางอิง รหัสตลาด วิธีการสงมอบ ชื่อของคูสัญญา รหัสกลุมเศรษฐกิจ Credit Rating คูสัญญา (Counterparty) รหัสสถาบันจัดอันดับ ความนาเชื่อถือ ประเทศของ คูสัญญา 111 Local Interest 000 - นอกตลาด (NO

appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account

) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account

under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator

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...