Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

: .................................................................................................... Sharing resources with the Head Office 6. In case of establishing an online office: 6.1 Name of the responsible person for online operation:........................................................ 6.2 The

regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of