)]. Notified this 30th day of May 2014. -signature- (Achporn Charuchinda) Chairman Securities and Exchange Commission Note: please note that the contents added in brackets [….] have only been provided in the
requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and
). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
evidentiary documentation via the form and method provided by the SEC Office on the SEC Office’s website. Clause 7 1 In the case where the SEC Office considers that the applicant has the correct and complete
application together with the correct and complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the
as securities registrar, including the internal control system capable of preventing wrongful acts; (2) list of securities for which the applicant has provided services as registrar (if any); (3
capable of preventing wrongful acts; (2) list of securities for which the applicant has provided services as registrar (if any); (3) other evidentiary documentation as specified in the Licensing Manual for
Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office shall consider and make a decision relating to the