Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange

form and is of opinion that: (1) the claimant has completely and accurately submitted the filing form under Clause 7 and has deposited the full amount of the arbitrator’s fee under Clause 32, the Office

publications or disclosure of such information shall be submitted to the Office.

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3

deposited with other securities companies or deposited with the securities depository. Clause 3. A securities company may undertake short sales for itself or for a customer only in the following cases: (1

derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a

shall be deposited at least one hour before the closing time of normal trading session on the next business day from the date that derivatives was executed; (b) in case of clients other than sub clause (a

loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a

investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the