Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause

Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and

category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital

brokerage of debt securities or investment units, shall have paid-up registered capital of not less than five hundred million baht, effective from 1 January 2012 onwards. Clause 3. The securities company

Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E