& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate

entrusted to make derivatives trading decisions for the client from January to June 14, 2011. {B}, however, did so on June 15, 2011 without the client's authorization and she admitted to such unauthorized

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

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

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

untitled ( ) 20 2563 1 2 3 4 5 6 7 8 8+ KTFFE86 86 Krung Thai Fixed Income FIF Enhanced86 Not for Retail Investors ( ) 0-2686-6100 0-2670-0430 Callcenter@ktam.co.th P a g e 1 | ( ) KTFFE86 86 Krung

/ Fixed income Asset class 1.40 / MMF/ Indirect FI fund/ Daily FI : Term fund TYPES OF FUNDS INVESTING ABROADTOTAL FOREIGN INVESTMENT AS OF TRILLION BAHT *Fixed income fund Fixed income fund* SEC