UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557

Notification of the Securities and Exchange Commission No. Kor Khor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and

. KorThor/Nor/Yor/Khor. 28/2547, Re: Determination of Fees for the Operation of Licensed Businesses (No. 2), dated 27 May 2004, was published in the Government Gazette on 9 June 2004, Volume 121, Special

reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

Commission No. Kor Khor. 40/2547 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 6) dated 3 August 2004. As amended by the Notification

. ---------------------- Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of Executives of Securities Companies ------------------------ By

Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2551 Re: Amount of Damages Arising from Derivatives Transaction for Settlement by Arbitration _____________ By virtue of Section 9 and the second

shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11

responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. Sor Thor/Khor. 40/2547 Re: Form of

Securities and Exchange Commission No. KorThor/Khor/Dor/Nor. 16/2553 Re: Determination of Fees for Undertaking Business According to Licenses dated 1 December 2010; (2) Notification of the Securities and