income is limited to income in relation to the business operation. The intermediary under Paragraph 1 who is qualified and has given the notice of intent to the SEC Office under the Notification of the

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators

with the Notification of the SEC Office. Clause 5 A securities company which ceases the operation of the securities business of all kinds and has given a written notice of such intention to the SEC

capital in accordance with the Notification concerning Maintenance of Capital shall: (1) submit a notice of failure to maintain the capital and the reason of such failure to the SEC Office within two

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorNor

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 3 Notification of the Securities and

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 76/2552 Re: Rules, Conditions and Procedures for Liquidation of Mutual Funds By virtue of Section 16/6 of the Securities and Exchange Act B.E

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and