of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by

“Contacts”) pursuant to Circular No. SEC.Khor.(Wor) 25/2550 dated 17 June 2007 Re: Guidelines for the Renewal of Approval for Investor Contact whereby the renewal of approval shall be considered on the basis

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for

regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a representative for

technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Additional Guidelines 1. The intermediary should assign a senior

regulatory authority for information technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Clause 11 An intermediary

derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for

contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on

. In this regard, the securities company shall comply with the rules prescribed by the Office and shall supervise the investor contacts to perform the duties in accordance with the rules prescribed by