of the Notification of the Securities and Exchange Commission No. KorKhor. 16/2547 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors dated 8 March 2004. “Clause 2/1. In

Supervisory Board hereby issues the following regulations: Clause 1. Provision in (3) of Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re: Rules, Conditions and

to safeguard investors’ interests. SEC has revised the following five notifications, namely, (1) The draft notification relating to the investment of mutual funds, (2) the draft notification

being necessary for making decision of unit holders (if any). Clause 4 This Notification shall come into force as from 1 January 2013. Notified this 21st day of November 2012. - signature- (Vorapol

TRANSLATED VERSION As of September 1, 2014 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

issues the following regulations: Clause 1 In this Notification: The terms, “collective investment schemes,” “units of collective investment schemes,” and “CIS operator” shall have the same meanings as

(Notification No. Tor Lor Thor. 8/2557 as amended), and Clause 23(2), which are prohibited characteristics of personnel in the capital market business in accordance with Clause 31(1) of the Notification of the

in filing for extension of approval, the SEC Office hereby issues the following order: Clause 1. In this Notification: “personnel in capital market business” means the following: (1) fund manager; (2

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Report/Form (Notification of Securities and Exchange Commission

business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the