Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

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

Thailand Securities Institute for no longer than two years on the date of submission of application or if more than two years, had attended a training course of a training institute or training course

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit

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

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