April Songkran Festival 5. Thursday 14 April Songkran Festival 6. Friday 15 April Songkran Festival 7. Monday 2 May Substitution for National Labor Day (Sunday, May 1) 8. Thursday 5 May Coronation Day 9

director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so

substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2 of the Notification of the Capital Market Supervisory

management company who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the

for B.E. 2551 (2008) as follows: 1. Tuesday 1 January New Year’s Day 2. Thursday 21 February Makha Bucha Day 3. Monday 7 April Chakri Day (Substitution Day for Sunday 6 April) 4. Monday 14 April

application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557

remunerations of directors and executives,9 the independence of the Board of Directors from the Management, the director development and assessment of duty performance of directors including supervision of

derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates