Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot 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 Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection

behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3

connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross

connection to the organization’s internal network systems; “ use of mobile device ” means the use of mobile devices in the operation to access the critical information system via direct connection to the

private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to

operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system

depositors, or between a depositor’s house account and customer account, notify the central securities depository or the Bank of Thailand, as the case may be, whether such transfer is made in connection with a

parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g

business administration, finance, accounting, economics or other academic degrees accepted by the Office. A bachelor’s degree in any field. - - 2. Work experience accepted by the Office in connection with