Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

following Acts shall be repealed: (1) The Securities Exchange of Thailand Act B.E. 2517; (2) The Securities Exchange of Thailand Act (No. 2) B.E. 2527. SECTION 4. In this Act "securities" means Published in

deemed to have the permission to use back office service from the Office, if the service providers are as follows; (1) The Stock Exchange of Thailand; (2) Limited company or Limited public company

giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand

invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading

in the outbound product which has not been listed or approved for trading on a foreign securities exchange or a foreign futures exchange, provided that such solicitation shall constitutes a public

invest in the outbound product which has not been listed or approved for trading on a foreign securities exchange or a foreign futures exchange, provided that such solicitation shall constitutes a public

exchange? Yes No If yes, please specify the name and country of the stock exchange Do you have any experience relating to the audit of the financial statements of the public interest entities whose shares

brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at

unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or