reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party

assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the

ประกาศคณะกรรมการกำกับตลาดทุน (UNOFFICIAL TRANSLATION) Codified up to No. 6 As of 17 May 2013 Readers should be aware that only the original Thai text has legal force, and that this English

(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 8 December 8 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

directly or indirectly holds shares of the other party in the amount exceeding fifty percent of total issued and paid-up shares; or (2) In the case where the party that manages funds has the power to control

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