Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) PAGE (Updated 2017) photo size 1 inch (taken less than 1 year) 2. Background and Details of Applicant Requesting Approval 1. First and last name of