TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

. (2) the client gives consent to the intermediary for temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or

. (2) the client gives consent to the intermediary for temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or

terminate the Asset Sale and Purchase Agreement if the Company or Subsidiary did not consent to a waiver of any material conditions which must be satisfied by the EPC Contractor prior to Thai Oil’s

สัญญาซื้อขายล่วงหน้า (4) ธุรกรรมที่เกี่ยวข้องกับการขอความยินยอม (consent) จากลูกค้า (5) ธุรกรรมที่เกี่ยวข้องกับการเปล่ียนแปลงข้อมูลดังต่อไปนี้ - ข้อมูลตัวตนของลูกค้า เช่น ชื่อ นามสกุล - ช่องทางติดต่อกับ

registration statement shall indicate that the statement or report, in the form and context in which it is included, has been included with the consent of that person, who has authorized the contents of that

ความเสี่ยงของกองทุนรวม การลงทุนกระจุกตวั ในผู้ออกตราสารรวม - ความเสี่ยงจากการลงทุน กระจุกตัวในหมวดอุตสาหกรรม ใดอุตสาหกรรมหนึ่ง (high sector concentration risk) การลงทุนกระจุกตวั ในหมวดอุตสาหกรรมรวม

In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such

/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to