consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs

2005. Notified this 23th Day of November 2004. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Risk Disclosure

who is supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in

guideline other than that prescribed by the Office, the Office shall consider that the securities company has complied with this Notification only after the securities company demonstrate to the Office that

the hours and days applied for. The Office shall consider and notify the result of consideration within thirty days as from the date of receipt of completed application and document evidence, unless

which it receives the request with complete and accurate documents in full, except in cases where it is necessary to consider additional facts and the Office has informed the securities company of such

incidents which may cause major operational disruptions Notified this 21st day of October 2016. (Mr. Rapee Sucharitakul) Secretary-General Office of Securities and Exchange Commission Appendix Division 1

attached hereto. Clause 3. This Notification shall come into force as from 1 August 2004. Notified this 16th Day of July 2004. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary

Settlement Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken