. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or

appointment of a person, who has registered as bond trader with the Thai Bond Market Association, to be investment consultant for providing consultation on debt securities for institutional investors on behalf

brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

and procedures as provided on the website of the SEC Office within 15 days as from the last date of each month having redemption or exercise; (2) the report of the exercising right to purchase

อนุญาต (trader ID) หมายเลขโทรศัพท์ที่ เจ้าหน้าที่การตลาดใช้ใน การติดต่อลูกค้า รายชื่อลูกค้าในความรับผิดชอบ ขอรับรองว่าข้อมูลข้างต้นถูกต้องและครบถ้วนตรงต่อความเป็นจริง

personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of

Limited (TSD) occurring from settling the securities trader via the clearing house of securities depository center and a net balance account of creditor of derivatives clearing house. 15. Securities