Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that

Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second

Section 16 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this Notification: (1) “derivatives business operator” means

specified by the SEC office. Clause 3 A derivatives business operator shall prepare the financial statements as prescribed in the Form attached to the Notification of the Office of the Securities and Exchange

. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue

Securities and Exchange Commission No. Sor Thor. 17/2551 Re. Report Preparation and Submission of Licensed Derivatives Brokers (No. 3) dated 4 June 2008. Clause 2 In this Notification: “ business operator

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally

Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an

and Exchange Commission, Thailand Re: Application to offer ASEAN CIS publicly in Thailand I/We _________________________________________________ as an operator of