relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus

the Securities and Exchange Commission I, Mr./Mrs./Ms..........................(FULL NAME) ........................................................................., a certified public accountant No

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board

Notification together with two photocopies thereof to the Office. Clause 3. This Notification shall come into force from 1 November 2004. Notified this 19th Day of October 2004. Thirachai Phuvanatnaranubala (Mr

proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the

which has the remaining maturity period more than 1 year as from the date of calculating, only in the portion no more than value of collateral. In this regard, such liabilities shall not have any

17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being

be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard

competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and