client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

): ......................................................... ………………………………................................................................................................... 2. Identification Number: ............................................................................................................ CPA License Number

license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide

indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

shall be disclosed with expected turnaround schedules during each period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the

. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to

accurate and suitable investment advice for clients. Clause 13/1 6 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business

shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete