unit dealing? (d) What is the procedure for automatic switching of investment units? (e) What are the procedures and restrictions on transfer of investment units? (f) By which channel can unit holders

| - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books

Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses

derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives

Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and

securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts

-time commissioners for higher independence and flexibility in coping with its responsibilities and expectations of the public.? ?Some future tasks are the issues that the SEC has already laid down

Committee 8. Mr. Anuwat Sanguansappayakorn Director 9. Mr. Anant Kaewruamvongs Director / Executive Director / Chief Executive Officer And Managing Director 4.4 Nature of business operation CSL and its