No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(3) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
adopts other measures that are sufficient and a substitute for its non-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, consideration shall be given to
is the basis giving the highest result of transaction. The outcome is calculated from the Company’s consolidated financial statements in interim review version for the 9-month period, ended as at 30
giving advice on trading debt securities to high net worth investors shall be made through securities companies that are capable of providing such services with respect to debt securities. Clause 67 To
and providing financial support to Thailand Future Fund in accordance with the Notification of the Capital Market Supervisory Board concerning the Offer for Sale of Units of Thailand Future Fund and the
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as
of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 61 In providing services as derivatives dealer