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

in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

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

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to

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

licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor

trading day, settlement day, delivery or settlement method, and the delivery or reference price used to determine settlement price and margin requirements. The Client should consider if the investment is