Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the
.” Unofficial translation FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [company’s name] filed on Position in the Company Director [ ] President
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices 22/05/2007 01/06/2007 2. Notification of the Securities and Exchange
, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices 22/05/2007 01/06/2007 2. Notification of Capital Market Supervisory Board
/2011 2. Notification of Capital Market Supervisory Board TorThor 7/2551 Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices 02/04/2008 01/05
derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
client’s permission or consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued
securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or consent in writing. Clause 7