the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

removal of the director of the company (d) Changes in the capital structure of the company e.g. increase and reduction of paid-up capital, offering of shares without pre-emptive right, debt restructuring

is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to

that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the

securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office

securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the

preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition

TRANSLATED VERSION Codified up to No. 2 As of June 12, 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 13