of securities companies and derivatives business operators in 2016, as follows: 1. Friday 1 January New Year’s Day 2. Monday 22 February Makha Bucha Day 3. Wednesday 6 April Chakri Day 4. Wednesday 13

for B.E. 2551 (2008) as follows: 1. Tuesday 1 January New Year’s Day 2. Thursday 21 February Makha Bucha Day 3. Monday 7 April Chakri Day (Substitution Day for Sunday 6 April) 4. Monday 14 April

) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the

) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for

is not ordered by the Office to rectify serious fault in its operating system or to refrain from establishing any new branch office; (7) the management company shall demonstrate that the following

. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean

. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the

because of the securities company in the position as a subsidiaries or entire taken over or almost under control by the other business. 3. Summary of Significant Accounting Policies Disclosure of each topic

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for