investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons

) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the

under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a person who is personnel in the capital market business and holds the

prohibited characteristics; (3) in case of prohibited characteristics in Group 3 under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a

clause (6) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) , as amended by the Ministerial Regulation concerning Granting

Writing Not to Take a Suitability Test. Clause 31 In cases where the results of the suitability test under Clause 30 appear that a certain risky or complex capital market product may not be suitable for the

or health impairments; If the clients under Paragraph 1(1) or (3) is financially literate or have made investment, the intermediary may provide or offer services suitable for such clients. Chapter 1/13

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

management under paragraph one hereof, or in the back office operation, the management company shall carefully consider selecting such persons suitable for the tasks to be designated, and shall also ensure

customer received which are kept by the investment advisory company under Clause 11; (c) the right to receive advice suitable for the purpose of investment, financial position and specific desire of each