daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

Office at least sixty days prior to the expiry date of registration. The Office shall consider the application under the second paragraph within thirty days as from the next following date after such

person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately

session of the next business day from the date on which a margin call is made by the derivatives broker . Clause 5 In cases any client is unable to deposit a margin within the periods prescribed under

broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day

to postpone such announcement to the next business day following the day on which the management company is able to determine the fair value of equity instruments issued by PTT Public Company Limited

disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day

report on such changes to the Office as per Form 117-7 attached to this Notification within fourteen days from the next following date after such information has changed. Clause 6. The management company

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and