of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except that the intermediary which is

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

Supervisory Board No. Tor Jor. 17/2561 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities _______________________ By virtue of Section 16/6 and Section 89/27 of the Securities and

applicant that is the Thai entity, and such Thai entity shall comply with this Notification and the Notification of the Capital Market Supervisory Board concerning Application and Approval for the Issuance

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

ซับซ้อน (plain) และ/หรือ ตราสารที่ผู้ลงทุนมีความคุ้นเคย ในการลงทุนแล้ว (common) (2) ตราสารที่มีความซับซ้อน (complex) และ/หรือเสี่ยงสูง (risky) 1.1 หลักการในการแบ่งประเภท product ควรดูที่ความซับซ้อนของ

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by the