in Appendices of the Handbook for CIS Operators of ASEAN CISs. Please print this checklist and include it as part of the package of this form ASEAN CIS Application Form To: Secretary-General Securities

any securities; “general advice” means giving advice to any person regardless of the purpose of investment, financial position and desire of such person; “specific advice” means giving advice to any

account of necessary and reasonable cause, in accordance with steps and procedurse specified in the public handbook; (4) submit a notice of result of such implementation to the SEC Office within two

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of

: …………................................................................................... Date: ........................................................ Company Letter No.: ................................................ Dear Secretary-General Office of the Securities and Exchange Commission

Sucharitakul) Secretary-General Office of the Securities and Exchange Commission

November 2016. (Rapee Sucharitakul) Secretary-General Office of the Securities and Exchange Commission

Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.

companies and derivatives business operators on 13 -15 April 2020 (Songkran Holidays). Notified this 19th Day of March 2020. - Signature - (Ruenvadee Suwanmongkol) Secretary-General