Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or

estimated cost ; - In case of financing acquisition of other business : describe such business and information on the status of the acquisition, as well as, the estimated cost. If the proceeds are used to

analyze securities investment; “investment advice” means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities

audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

in which the management company should proceed to exercise the right to vote in the shareholder’s meeting as follows: (a) Financial status, operational performance, dividend payment that may affect the

in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of

investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with