Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private

for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re

daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of

management company who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the