the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary. In this regard, the appointment of

Investment Advisors and Appointment of Investment Advisory Agents (codified as of 28/02/2005) (Synopsis)   14/09/2001 01/03/2002   Report/Form (Notification of Securities and Exchange Commission) Application

Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010)   01/02/2010 01/02/2010 10. Notification of the Office of the Securities and

the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010)   01/02/2010 01/02

and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (Synopsis)   05/01/2005 01/04/2005 4

.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment of a brokerage

) [ ] 4.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment

increase of the capital under a general mandate may be carried out when it is clearly stated that the units will be allotted accordingly to the ratio and rules set out in the notification of the Stock

memorandum on execution of the connected transaction to the Stock Exchange of Thailand, and also seek approval from the Shareholders’ Meeting with the favorable votes of not less than three-fourths of all

of more than three percent of the Company’s net tangible asset value, the Company is therefore required to disclose the information memorandum on execution of the connected transaction to the Stock