Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the

records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to

provide information or evidentiary documentation related to the clients’ financial status and debt-repaying ability with respect to all existing clients of whom the securities company has no records in

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the

Transactions in Capital Market B.E. 2550 (2007). I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature