providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

process organized by the SEC Office in accordance with the rules and procedures prescribed by the SEC Office when requested by the client for the settlement of civil dispute incidental to or resulting from

in outbound products in addition to those prescribed under Clause 12: (1) Bank of Thailand; (2) commercial banks; (3) financial institutions established under a specific law; (4) securities company; (5

regarding investment in outbound products in addition to those prescribed under Clause 12: (1) Bank of Thailand; (2) commercial banks; (3) financial institutions established under specific law; (4) securities

of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9