): ......................................................... ………………………………................................................................................................... 2. Identification Number: ............................................................................................................ CPA License Number

Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform

client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the past three years is no longer required in the Registration Statement

shall be disclosed with expected turnaround schedules during each period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the

. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to

accurate and suitable investment advice for clients. Clause 13/1 6 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business

shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...