THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than 15 million baht and [net

(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any

Captial Market Supervisory Board Re: Temporary Rules on Business Operation of Specific Intermediaries And a Certain Type of Derivatives Intermediaries shall maintain the capital in accordance with Paragraph

accordance with the criteria as follows: (1) the derivatives broker shall maintain its net capital as at the end of any business day in the amount not less than 15 million baht and not less than 7% of the

the Notification of the Office of the Securities and Commission; (10)1 repealed. Clause 2 1 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred