. - Signature - (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Chairman Capital Market Supervisory Board Note: please note that the contents added in brackets

contents added in brackets [….] have only been provided in the English version for clearer understanding.

of time. Notified this 20th day of November 2012. -Signature- (Chaikasem Nitisiri) Chairman Securities Exchange and Commission Note: The contents added in brackets [….] have been provided in the

of February 2011. - Signature - (Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Note: please note that the contents added in brackets [….] have

Capital Market Supervisory Board Note: please note that the contents added in brackets [….] have only been provided in the English version for clearer understanding. 5 Amended by the Notification of the

Notification. Notified this 17th day of May 2013. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Capital Market Supervisory Board Note: please note that the contents added in brackets [….] have only

Notification. Notified this 17th day of May 2013. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Capital Market Supervisory Board Note: please note that the contents added in brackets [….] have only

note that the contents added in brackets [….] have only been provided in the English version for clearer understanding

: Please note that contents added in brackets [….] have only been provided in the English version for clearer understanding.

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...