Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
: Contact person: Email: Name of local representative: Contact person: Email: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact
: Contact person: Email: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact person: Email: * Please choose the following form that
: Name of local representative: Contact person: Email: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact person: Email
local representative: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase of units of
operator: Name of local representative: Name of local intermediary: [in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase
/Documents/ActandRoyalEnactment/Act/translate-trustact.doc 6409pe.doc electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products
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Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4