assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive

approval of private fund custodian; □ 3.2 For approval of private fund custodian and requesting for the permission to commence the business, which the commencement date will be……………………… □ 3.3 For renewal of

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following

commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its

shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or

holding shares of other companies in all upward levels of shareholding, beginning with the company holding shares of the company under (b) and shareholding in each level exceeds fifty percent of the total

Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal