of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

derivatives business operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure

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

, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of

advisors or intermediaries for the offer for sale of securities: disclose additional information on the terms and conditions of such debt; · Other cases: disclose at least the amount of money and the

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5