SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English

NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Office of the Securities and Exchange Commission (Translation) (Translation) - 8 - Readers should be aware that only the original Thai text has legal force and that this English

The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is

The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No

proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the

permitting license within 60 days from the date on which the SEC Office has received complete application and documentation. In this regard, the Securities and Exchange Commission will complete its

consideration of issuing a license within sixty days from the date on which the SEC Office receives the application and supplementary documents in full. The Securities and Exchange Commission shall complete its

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

complete qualifcations as specified, the Office shall propose the case for the Securities and Exchange Commision to consider granting the license, in which case the Securities and Exchange Commission shall