For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives

The Securities and Exchange Commission (SEC), in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank of Thailand (BOT), organized activities to

the existing Concession Agreements after obtaining the approval from the shareholders’ meeting and after obtaining the consent from the Council of Ministers. 5. On September 30, 2018, the Company has

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

management company may seek a general consent from the client or the provident fund committee in advance in the private fund management agreement. Clause 15 A management company may enter into a transaction

advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the

of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; 1As added by the notification of the Securities and