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transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

, Underwriting and Allocation of Newly Issued Securities; (b) in the part relating to underwriter means “ connected person ” in accordance with the Notification of the Securities and Exchange Commission concerning

duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees

request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business

(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature