Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the

Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation No. 9 (B.E. 2540) issued under the

Commission No. KorDor 29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the

Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed

Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed subsequently to operate

; (5) Clause 4(3) of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Margin Lending dated 13 July 1996; (6) Clause 6(5) of the

Establishment and Management of Funds dated 10 June 2004; (5) Clause 4(3) of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Margin Lending

) securities underwriting; (4) investment advisory service; (5) mutual fund management; (6) private fund management; (7) securities borrowing and lending; (8) venture capital management. ““Type B securities

company which undertakes short sales for itself, a foreign financial institution which undertakes short sales for itself or for customers domiciled in a foreign country and other persons prescribed by the

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules