to securities business Others (Please specify): ................................................................................................................... Foreign juristic person (Please
Director [ ] Independent Director and Member of Audit Committee Executive [ ] Executive (please specify title in the company) Date of Appointment : Part 1 : General Information 1.1 First name / Last name (in
investor. Please specify the name of the intermediary / financial advisor ……………………………………………………………………………………………………………………….. Director. Please specify the name of the listed company / issuer
. ตรวจสอบข้อมูล / Check กำหนดรหัสผ่าน / Specify Password Password รหัสผ่านต้องประกอบไปด้วย / Password MUST consists of: -อักษรตัวเล็ก (a-z) / a-z charactor(s) -อักษรตัวใหญ่ (A-Z) / A-Z capitalized
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
or permanent basis. In this regard, the SEC Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are