Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is

an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall

Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

is strictly for reference. 5 Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 9 Notification of the Capital Market

intermediary shall arrange for confirmation of the client about such performance by the intermediary. Clause 33 In case of risky or complex capital market products traded on the Stock Exchange of Thailand or a

Exchange Commission No. Kor Thor. 32/2560 Re: Maintenance of Net Capital ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities