for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Application Form for Approval of Operation of Agricultural Futures Trading Business by Derivatives Business Operators By virtue of Paragraph 2 of Section 22 of the Derivatives Act B.E. 2546 (2003), the SEC

suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office

) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

fees in the business operation under this Notification, subject to the rules and within the scheduled time as specified by the Office with the approval of the Securities and Exchange Commission. Clause 8

. The operation under Paragraph 1(1) may be proceeded through a derivatives business operator approved by the SEC or registered with the SEC Office or through a person granted an approval in accordance

Office may proceed to impose sanctions as follows: (1) Probation; (2) Suspension of operation for a specified period or according to specified conditions; (3) Revocation of approval. In case where the

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

relating to derivatives business, such as risk management committee, investment committee, or operation supervision committee, etc. Clause 2. As regard the application and approval for appointment of an