undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s

of person who sent the information, it is unable to prevent such case.. So, it was approved that still use the post guideline. Original proposed guideline Comment/question From company The SEC Office’s

securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office

person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by

securities; 2. director and employee of issuing company or subsidiary of issuing company as approved by the board of directors or the resolution of the shareholders’ meeting of issuing company; 3. creditor of

definitions in notifications relating to issuance and offer for sale of securities; 2. a director and an employee of a securities issuer or its subsidiary company as approved by the board of directors or

adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved auditor. In this regard, the Company may choose to disclose the above information by referring to the

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale