translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public

or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of

procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

electronic procedures. “securities company reporting system” means the electronic data interchange provided by the Office for filing reports of securities company to the Office. “Office” means the Office of

Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting

Reporting System) เพื่อรองรับการส่งข้อมูลกองทุนรวมในรูปแบบ แฟ้มข้อความ ลงวันที่ 31 สิงหาคม 2547 ความละเอียดแจ้งแล้ว นั้น สำนักงานขอเรียนซักซ้อมความเข้าใจ ดังนี้ 1. สำนักงานจะหยุดทำการทดสอบระบบ FTRS ในวันที่

Securities and Exchange Commission No. SorThor/Nor. 8/2551 Re: Reporting of Offshore Securities Investment of Securities Company By virtue of Clause 1 (3) of the Notification of the Securities and Exchange

ใบอนุญาตกองทุนรวมและกองทุนส่วนบุคคล ให้ส่งแฟ้มข้อความ AMC03.TXT ผ่านระบบ Investment Management Reporting System (IMRS) ส่วนบริษัทหลักทรัพย์จัดการกองทุนที่ได้รับใบอนุญาตกองทุนส่วนบุคคลเท่านั้น ให้ส่ง

/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and