Office of the Securities and Exchange Commission No. SorThor/Nor. 8/2551 Re: Reporting of Offshore Securities Investment of Securities Company By virtue of Clause 1 (3) of the Notification of the

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the Office

reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the Office

) 3. Certification of the Applicant Date ........ Month ........ Year ............... Dear Secretary-General of the Office of the Securities and Exchange Commission: I, ………(applicant’s name)………., a

UNOFFICIAL TRANSLATION (Revised 2015) 3. Certification of the Applicant Date ........ Month ........ Year ............... Dear Secretary-General of the Office of the Securities and Exchange