. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

be submitted to the Office. Preparation of the balance sheet and the profit and loss account for the first six months of the financial year in accordance with the first paragraph and the publication in

. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of

the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or

to ensure that any preparation and giving of advice adheres to the generally-accepted principles and that such advice is substantiated by reliable documentation, including taking into consideration

) Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 9/2549 Re. Report Preparation and Submission of Licensed Derivatives Brokers dated 31 March 2006; (8) Notification of the Office

preparation and submission of daily status report in text file via OFAR Version 1.7 Intermediaries Supervision Policy Department Telephone: 0-2263-6257 Facsimile: 0-2263-6487

exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the