exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration

contingency operation .[M] 2.3 Temperature and humidity controlling system · Controlling the environment condition which have temperature and humidity appropriately according to settle the temperature of the

ความเสี่ยงเพิ่มขึ้นอย่างมีนัยสำคัญ แต่อาจเพิ่มผลตอบแทนให้ กองทุนได้ - 5 - (ช) กรณีที่ derivatives ที่มีข้อกำหนดว่าอาจมีการ settle ด้วยทรัพย์สินอื่น (ข้อ 36(3)) ต้องเป็นทรัพย์สินที่กองทุนลงทุนหรือมีไว้ได้

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the 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 or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting must

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature