Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and

.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of

(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating

_____________________________________________________________________ 4. I/We affirm that the offering document/prospectus and the information of the ASEAN CIS will be disclosed and distributed to investors in Thailand within the same period as having the duty to