(UNOFFICIAL TRANSLATION) (Updated 2017) 2. Background and Details of Applicant Requesting Approval 1. First and last name of the applicant Mr. Ms. Mrs. Others (please specify
Approval for Undertaking of Derivatives Business (No. 2)
Approval for Undertaking of Derivatives Business (No. 3)
The Approval of Personnel in the Capital Market Business
Re: Rules, Conditions and Procedures for Approval of Securitization Projects
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment