, unless permission has been granted by the Office to open or close its office at any other hours or days.

submit any necessary document or report in the interest of the consideration of the derivatives broker ’s ability to maintain its net capital during such period as it deems appropriate. Clause 3 A

No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business (No. 3) B.E 2555 (2012) and the first

(6) of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business

securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules

given permission to establish and manage mutual fund, but not yet offering to sell investment units to public prior to this notification become effective, or in the case where the mutual fund management

permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from the Office, if

arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission