shall have the following statements: (a) a warning stating that “the past performance of ( specify the name of the fund ) is not indicative of future performance.” The warning and the fund’s past

performance of ( specify the name of the fund ) is not indicative of future performance.” The warning and the fund’s past performance shall be on the same page; (b) a statement specifying that the measurement

) Limited company or public limited company of which the fund supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor

Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade

case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short

) to determine additional standards of conduct of which require investor contact to comply with the laws and regulations relating to contacting and soliciting give force to a securities company, so it is

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

documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such

a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the