…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

should be notified to the investors in support of their decision making. Part 2.3 Management and Corporate Governance 9. Securities and shareholders 9.1 Amount of registered capital and paid-up capital (1

who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service

assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the

registration statement shall be certified by the director(s) with binding authority( by affixing signature and the Company’s stamp (if any) wherein, and authorizing a person to sign on the documents of the

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference