Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________                 By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange

Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking of Securities Business in the Category of Securities Financing dated 13 July 1996; (6) Clause 2 and

securities business for money laundering and financing of terrorism as prescribed by the Notification of the Office of the Securities and Exchange commission regarding Rules, Conditions and Procedures for

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives

Permission of Securities Business in the Category of Securities Financing B.E. 2555 (2012), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The prevention of conflict of interest in the fund management which are proprietary

Permission of Securities Business (No. 3) B.E. 2555 (2012 ), and Paragraph 1 of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E

(No. 3) B.E 2555 (2012) and the first paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the