) Notification of the Capital Market Supervisory Board No. Tor Thor 39/2555 Re: Providing Compliance Unit of Intermediary dated 14 August 2012; (3) Notification of the Office of the Securities and Exchange
submitted securities trading orders through the client's account for the benefit of his own and others. In addition, such securities trading used proceed from loan whereby {B} acted as intermediary to
Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have prohibited characteristics
Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS
appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as