Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory

SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws

the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

the fund; 1.5 Payment as required by laws. 2. Practice on asset withdrawal from the client’s private fund account. The custodian shall not withdraw assets from the client’s private fund account except

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC

a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines

the appendix attached herein; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to

position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate

: This Registration Statement for Securities Offering (Form 69-1) is the minimum information that the issuing company (“The Company”) is required to disclose. In preparing the Registration Statement, the