report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated

case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were

Exchange (SGX), who is of view that volatility closing price on such particular day was due to market?s low liquidity. SGX also investigated on the incident and decided to set additional measure where market

(Translation) (Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of

derivatives investor contact service or back office service from service provider. Notified this 8th day of May 2006. (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of Securities and Exchange

Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By virtue of Clause 27/1 of the

the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider

4th day of June 2009. - signature- (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Note: please note that the contents added in brackets [….] have only been provided in the English

January 6, 2004. Notified this 23rd day of January 2004. (Captain Suchat Jaovisidha) Minister of Finance Chairman of the Securities and Exchange Commission Remark : The Notification of the Securities and

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange Commission