virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to

Intermediary _____________________________ By virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement

Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By virtue of Clause

Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the

following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables attached hereunder

virtue of Clause 27/1 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: rules for Undertaking Derivatives Business for Licensed Derivatives Broker Dated 22 December

Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By virtue of Clause 27/1 of the

By virtue of Clause 27/1 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: rules for Undertaking Derivatives Business for Licensed Derivatives Broker Dated 22

and Exchange Act (No.4) B.E. 2551 (2008) in conjunction with Clause 12 and Clause 15 of paragraph 2 of the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E

(2008) in conjunction with Clause 12 and Clause 15 of paragraph 2 of the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008), the Securities and