Business License under Ministerial Regulation Concerning Granting of License for Undertaking Securities Business B.E. 2551 2008)   14 08/05/2008 01/06/2008 11. Notification of Capital Market Supervisory

-high Net Worth Investor and High Net Worth Investor   08/02/2017 16/02/2017 3. Notification of the Securities and Exchange Commission  KorThor. 18/2554 Principles for Undertaking Securities and

   Securities and Exchange Act 2535   116 12/03/1992 16/05/1992 2. Notification of the Securities and Exchange Commission  KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses

; and b) Engaged in audit regulatory functions in the public interest, and, in particular: - Ultimately responsible for the system of recurring inspection of audit firms undertaking audits of public

apply to any undertaking with respect to the following matters, mutatis mutandis. (1) application for approval, granting approval, and conditions in granting approval of trust managers; (2) cessation of

suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; ( (3) request for renewal of approval or request for

suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be;  (3) request for renewal of approval or request for

, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of securities for itself, a

call for collateral, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of

tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall