ยุทธนา 6 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 Capital

e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   35/2548    13/09/2005

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   35/2548    13/09

Exchange Act 2535   116 12/03/1992 16/05/1992 5. Notification of Capital Market Supervisory Board  Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products

as follows: (1) The Notification of the Capital Market Supervisory Board No. Tor Nor. 47/2567 Re: Investment of Funds (No. 29) and Attachment 1, Attachment 2, Attachment 3, Attachment 4-retail MF

offense.    The purchases of UOB8TF units in both cases were done before the inside information was publicly disclosed through SET on 7 March 2016, and the sales thereof generated profits or averaged out

https://publish.sec.or.th/nrs/8841pe.doc 5883pe.doc this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual

this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the

Supervisory Board may, if appropriate, promulgate the notification https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc DRAFT CUSTOMER ASSET SECTION 31.2 The provisions of this

and disclosure of the rectification of internal control system according to the auditor and internal auditor?s comments and recommendations. He also failed to review and understand the company?s