is strictly for reference. PAGE 2 Notification of the Office of the Securities and Exchange Commission No. SorThor. 67/2558 Re: Official Holidays of Securities Companies and Derivatives Business

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise

home country where its official agency or regulator is a member of International Organization of Securities Commissions (IOSCO), whose regulation on certain derivatives business is not inferior to those

category of derivatives dealer in its home country where it is subject to an official supervision or a derivatives trading regulator whose regulation on certain derivatives business is equivalent to those

…………………………………………………………………… O no 6.5 Having been removed from office of chairperson, director or manager under Section 144 or Section 145 or under the provisions of other laws: O yes O no 6.6 Being a political official: O yes O

offered for sale in an ASEAN country; (c) debt instruments without high-risk or complex characteristics issued and offered for sale in an ASEAN country. “ agricultural commodity trading management official

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 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. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

identity of the client or the beneficial owner and controlling person of the company; (3) a foreign collective investment scheme (CIS) which is not registered with or authorized by its official regulator; (4

deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has