regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating

Market Supervisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies dated 3 August 2009, the SEC Office hereby issues the following regulations. Clause 1 The

established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through

specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports

and Exchange Commission Re: Rules and Timeframe for the Submission of Reports of Securities Companies dated 18 May 1992, the Office of the Securities and Exchange Commission hereby issues the following

Supervisory Board concerning Submission of Registration Statement for Securities Offering ; (2) the Notification of the Capital Market Supervisory Board concerning Submission of Registration Statement for Offer

Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management

this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of