of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities

No If yes, please summarized the results of inspection in the space below 5. Declaration I hereby declare that all information provided in this application and its attachments are true and correct

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part H: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

the details of listed companies you have been involved with in the latest year No. Name of entities Industry Your responsibility (Siging Partner/Engagement Partner/EQCR 5. Declaration I hereby declare

the declaration is dated.) Form updated as of June 2021 Name of foreign collective investment scheme (CIS): Date of the constitution of the CIS (dd/mm/yyyy): Home jurisdiction: Name of home regulator

shall ensure the declaration is dated.) Form updated as of June 2021 Name of foreign collective investment scheme (CIS): Home jurisdiction: Name of home regulator: Type of arrangement: ( ASEAN Collective