company or a public limited company which is established to undertake securities business in the category of securities finance shall be as follows: (1) a financial institution under the Law on Loan

reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9

Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the

business operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a

this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers

Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial

issued by a commercial bank, a commercial bank established under specific law, or a finance company; (c) Treasury bill, government bond, Bank of Thailand bond and the Financial Institutions Development

issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities

of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions

ethics or standard for conducting finance business or other financial related business: O Yes (please specify) For example, date of the incident………………..….. Details of such incident