funds or the transferred mutual funds which are dissolved due to the merger or the amalgamation shall be in accordance with the Notification No. TorNor. 75/2552, mutatis mutandis . However, the provision

shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the

the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in

to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies

provision which may in any manner give rise to a conflict of interest between customers and the management company as well as related persons as specified in the notification of the Office shall be subject to