Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

which the company is unable to maintain such adequacy, and inform the improvement to the Office within two business days from the date of the improvement. Clause 5 . During the period that the investment

management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that differs from such

policies in various areas such as product creation, product improvement, or production technology, and disclose the expenses incurred from such research and development over the past three years. In case of

actual remunerations (for example, several appointments of new executives in the current year), give an estimate of the remunerations in the present year as well. In case of a holding company, specify the

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its

); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d) reporting the operations as

the internal audit unit promptly and following up on such improvement. Notified this 11st day of October 2000. - Signature - (Mr. Prasong Vinaiphat) Deputy Secretary-General Acting Secretary-General

deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d