have the investment units of a public offering listed on the Stock Exchange of Thailand as well; (8) restrictions on the allocation and transfer of investment units (if any); (9) request for the
offeror [CIS operator] may request a waiver in a written form to the SEC Office before the submission period ends whereby the offeror [CIS operator] shall clarify reasons for such waiver and specify the
regulator is located, providing that such information shall be kept at office or on the website of securities company and sent to investor upon request. Clause 8. Prior to selling units of foreign collective
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any
relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
any orders to derivatives broker, it shall be deemed that the Office grants an approval to such derivatives broker to use back office service upon request. Clause 7. The derivatives broker shall be
any orders to derivatives broker, it shall be deemed that the Office grants an approval to such derivatives broker to use back office service upon request. (Translation) -4- Clause 7. The derivatives
back office service upon request. (Translation) -4- Clause 7. The derivatives broker shall be deemed to have the permission to use back office service from the Office, if the service providers are as
permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from the Office, if