translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator

Securities and Exchange Commission No. SorThor/Nor. 8/2551 Re: Reporting of Offshore Securities Investment of Securities Company By virtue of Clause 1 (3) of the Notification of the Securities and Exchange

/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and

SEC Office in the form of electronic data, a securities company shall file the report via securities company reporting system by following the SEC Office’s rules of electronic data filing.. Clause 7

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators

handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting