the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal

. Applicant’s address: Head Office No: ......................... Building: ..............................Floor No. /Room No. .................................... Residence No

) ..................................................... 3. Applicant’s address: Head Office No: ......................... Building: ..............................Floor No. /Room No. .................................... Residence No

head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In

shall at least be the head of the department or a person holding any equivalent position otherwise called under a different name but in charge of a line of work relating to the derivatives business

คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า

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 audit firm

fund management Ο private fund management Ο other, (please specify)…………….. (Translation) 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office

obligations or conditions in the following years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any

to collect, use or disclose personal information on the legal basis of public interest in accordance with Section 24(4), Paragraph 1(2) of Section 25, and Section 27 of the Personal Data Protection Act