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

renewal of approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

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

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

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

an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall

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