listed on the SET through backdoor listing, those with no track records on business self-building, and those with their business growth achieved mainly through acquisition of other businesses. Besides
the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by the SEC Office. Clause 15 The derivatives broker shall keep records of
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
Derivatives Exchange, as detailed in Chapter 2; (2) Business Continuity Management and Security of Information Technology Systems, as detailed in Chapter 3; (3) Retention of Information and Documents, as
result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In case the
statement or provide signing off by such person. F. Documents for Public Inspection The issuer shall provide an indication of where the documents (or copies thereof) concerning the issuer, which are referred
name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only