transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued

should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which

debtors according to the first paragraph shall be made through registered mail with advice of delivery, or through other methods with evidence of delivery. Clause 8. After all debts has been repaid or the

the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and

the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015

advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the

under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders