(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

the event the remaining period up to the end of the calendar year for operation of the licensed business in the first year is shorter than six months, the licensee shall pay such fees at one half of the

. When the initial margin becomes lower than the maintenance margin, the derivatives broker will require the investor to fill the initial margin up to the original amount within the specific period of time

policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s policies and procedures and reference materials which include materials related to the client

: Initial and Maintenance Margin for Derivatives Trading in Derivatives Exchange dated 22 December 2004 . TRANSLATED VERSIONcodified up to No.3 as of June 13, 2011 The law on budget procedures means The

(UNOFFICIAL TRANSLATION) Codified up to No. 4 As of 8 December 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 3 July 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2

2 (UNOFFICIAL TRANSLATION) Codified up to No.4 As of 14 December 2012 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

) Shareholder equity in amount of……………….….………….…Baht 2. Information of prohibited characteristics: 2.1 Up to present; (1) Is a person whose name is on the black list or the list of persons whom the Stock Exchange

correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving