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

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

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

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

approval terminated prior to the expiration of the approval term under the events set out in the Notification of the Office of the Securities and Exchange Commission concerning approval for investor contacts

company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means

Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF

.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker

securities in the Stock Exchange through the Securities Trading System set up by the Stock Exchange; “Stock Exchange” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board