duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the

NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Office of the Securities and Exchange Commission (Translation) (Translation) - 8 - Readers should be aware that only the original Thai text has legal force and that this English

The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform

this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers

Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546

exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the