Limited given on 14 December 2007. As a result, the last transaction price of such equity instruments does not represent the fair value and thereby affects the mutual funds that have invested or held equity

the Notification of the SEC Office No. SorKhor. 39/2549 Re: Approval for Investor Contacts and Standards of Conduct (No. 2) dated 19 December 2006, thereby approval for investor contacts shall be

professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or

) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited

; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus

permission shall be in accordance with rules, conditions and procedures prescribed by the Securities and Exchange Commission, thus the Commission has issued the Notification of the Securities and Exchange

information disclosure to investors. It is thus deemed appropriate that the notification relating to establishment and management of funds as specified in the Notification of the Securities and Exchange

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...