for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case of advertisement of guaranteed fund or private fund with the same investment policy, the

where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s

regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of

Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

undertake derivatives business in the category of derivative broker which is limited to only debt securities under the Notification of the Securities and Exchange Commission on granting of approval for

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref TRANSLATED VERSION As of May 10, 2011 5 Readers should be aware that

original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of

authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the