Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial
Capital Market Supervisory Board concerning Application for an Approval of Offer for Sale of Newly Issued Securitized Bonds ; (7) structured notes; (8) debentures structured with burden on the debenture
Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly Issued Structured Debentures or other Instruments having Structured Debentures ; (10) subordinated
undertake any responsibility for its accuracy, nor be held liable for any loss or damage arising from or related to its use. PAGE 2 Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Capital Market Supervisory Board
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.