, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are

conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

RENAISSANCE FUND MANAGEMENT LIMITED|Money Market Fund | Offering Date : 14/09/2010 - 22/09/2010

EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Money Market Fund | Offering Date : 18/08/2005 - 26/08/2005

KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Money Market Fund | Offering Date : 27/11/2008 - 04/12/2008

KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Money Market Fund | Offering Date : 22/11/2005 - 29/11/2005

KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Money Market Fund,Super Savings Fund : SSF | Offering Date : 01/03/2004 - 02/03/2004

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 01/02/2005 - 15/02/2005

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Money Market Fund | Offering Date : 21/03/2012 - 27/03/2012