Section 56 of the Securities and Exchange Act B.E. 2535 (1992). In case of vacating from the position in one company, the SEC Office may not de-list my name, if I remain holding position in or working for

shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using

management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation

, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction

-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company

within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody

2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any company licensed to undertake securities

person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of

obtaining an approval from Board of director of the company. In this regard, management company shall report such matter to the Office within five working days from the date of sale of such assets or the

: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company