relevant responsibilities, the Applicant shall change the Password immediately; 6. The submission of the Application Form for registration/change of information/termination of SEC Account is part of the

not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify

less than thirty days before terminating the operation or before the expiration date in accordance with the procedures and methods specified in the Licensing Manual for the Public; (2) revocation of

the operation or before the expiration date in accordance with the procedures and 5 methods specified in the Licensing Manual for the Public; (2) revocation of approval by the SEC Office in accordance

Appointment of Authorized Officer   48. Report/Form (Notification of Securities and Exchange Commission) Form EF-4 Revocation of Certifier or Authorized Officer   49. Report/Form (Notification of Securities and

_____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify

revocation order or action by the Securities and Futures Commission of Hong Kong regarding the license or business activities. Yes No If “No”, please specify __________________________________________________

subject to any suspension or revocation order or action by the Securities and Futures Commission of Hong Kong regarding the license or business activities. Yes No If “No”, please specify

Office may proceed to impose sanctions as follows: (1) Probation; (2) Suspension of operation for a specified period or according to specified conditions; (3) Revocation of approval. In case where the

.. UNOFFICIAL TRANSLATION Codified up to No. 5 As of 23 March 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the Capital Market Supervisory Board relating to the issuance and offering for sale of securi...