3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit

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

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

: 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

Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such approval shall be in accordance with the rules, conditions and

submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such approval shall be in accordance with the rules, conditions and procedures for

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

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

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