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

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference

... TRANSLATED VERSION As of November 23, 2011 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

trading system; (6) arranging disclosure of information related to trading which shall cover at least the following matters: (a) procedure and method for providing clear and fair access for service users

advertisement. For example, the texts must be clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 17. The securities

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (Unofficial Translation) PAGE Readers should be aware that only

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference