specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

conforming to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6

to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6 In

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives

:- (1) the client’s name is listed on the database in Clause 14(1) or (2), or the client’s nationality, residential address, source of fund, country of origin, contact address, or business address is in a

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business