, Underwriting and Allocation of Newly Issued Securities; (b) in the part relating to underwriter means “ connected person ” in accordance with the Notification of the Securities and Exchange Commission concerning

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total

associated persons who are counter parties of the Company. 6. General information and other significant information 6.1 General information Specify the following information on the issuer: (1) Name, head

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

วางแผนการลงทุน (Asset Allocation) ตราสารหนี้ กองทุน ตราสารทุน สัญญาซื้อขายล่วงหน้า ตราสารหนี้1 กองทุน2 ตราสารทุน สัญญาซื้อขายล่วงหน้า 1. นักวิเคราะห์การลงทุนปัจจัยพื้นฐานด้านตลาดทุน ( ( ( ( ( ( ( ( ( 2

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise