Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

Market Supervisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies dated 3 August 2009, the SEC Office hereby issues the following regulations. Clause 1 The

channels. In case of export, specify the domestic/export sales ratio, the export markets or the group of export markets for such major products or services; (b) Describe the industry competition during the

Thailand Securities Institute for no longer than two years on the date of submission of application or if more than two years, had attended a training course of a training institute or training course

, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry

) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit

-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure