SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.5 as of June 5, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation

Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not

the Exchange or foreign exchange shall be at the rate of 0.001 percent of the trading value, calculated according to the following methods: (a) in case of licensees being members of the Exchange or

exchange shall be at the rate of 1 percent of the fee income from such securities brokerage business, excluding investment units and debt securities. Clause 8 A securities dealing licensee shall pay the fee

Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC

. 3.9 Doubtful debt restructuring It shall disclose a nature of the debt restructure, accounting policy of value assessment expected to return and discount rate. 3.10 Property, plant and equipment It

, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt

company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means