report the result of securities dealing in accordance with related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment

Dealing Which is Not Limited to Debt Instruments or Investment Units dated 3 August 2009, and Clause 6, Paragraph 1 of Clause 8 and Clause 33 of the Notification of the Capital Market Supervisory Board No

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of

Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the

each type of business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total

securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules

brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management. 1The provision under Paragraph 1 shall not be applicable to a licensee under Paragraph