the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

means remuneration from beneficial using of investments, including interests and discount paid by the company for the lender. In a manner of lending documentary issuance, promissory note issuance

, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data

the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to

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

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these

securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and

analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less