SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.5 as of June 5, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation

NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers

. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains

Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision

, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand , so permits by virtue of law, the Securities and Exchange Commission acting as the Capital

. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 76/2552 Re: Rules, Conditions and Procedures for Liquidation of Mutual Funds By virtue of Section 16/6 of the Securities and Exchange Act B.E

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission acting as

. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. PAGE (Translation) 2 The Securities and Exchange