13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which

from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

ยศุกูก (ฉบับที่ ) -ไมมีผูแสดงความเห็น- 14. ขอเสนอแนะ/ขอสังเกตเพิ่มเติม ในแบบ 69-SUPPLEMENT ไมควรรวมถึงการ update งบการเงินเน่ืองจากในการยื่นแบบ 69-PRICING ในคร้ังถัดไป issuer จะตอง update ขอมูล

NAV ซึ่ง ตอง update และเปดเผยขอมูลสม่ําเสมอ (เหมือน MF ปกติ) - กรณีกองทุนเปด (Open-ended Fund) ตอง update หนังสือช้ีชวนใหมทุกป - รูปแบบ Trust Deed มีหัวขอเหมือนโครงการ MF แตเปนขอมูลแบบงาย

., BANGKAE, BANGKAE, BANGKOK, THAILAND. 10160 Tel: 02-455-2888 Fax: 02-455-2763 (“TRANSLATION”) TG 195/2560 November 8, 2017 Subject: Clarification of the Operating Result for the significant change - Update

concerning relevant parties and personnel in charge of communications. Clause 5 Intermediaries shall update information relating to the personnel in charge of operations under Clause 4(2) and the relevant