Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

shall apply for the following securities business licenses: (1) securities business license type A (ก); (2) securities business license type B (ข); (3) securities business license type C (ค); (4

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person

Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a

. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Brokerage dated 25 November 2004. Clause 3 In the Notification: (1) “ derivatives business license type Sor-1

) The name of the customer or the customer’s derivatives account number; (2) The transaction date; (3) The contract specifications including contract type, type of underlying assets or variables

Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546

Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail

investment scheme offered in Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective

statement of a customer: (1) name or the derivatives account number of the customer; (2) transaction date; (3) contract specifications including contract type, type of underlying asset or variable, settlement