Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Sales results of the foreign CIS units that have been offered in Thailand: Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the

year (4) securities registrar 50,000 baht per year (5) investment advisory 25,000 baht per year In the case where the licensee has not operated business to the full calendar year, the fee shall be paid

Clause 5 throughout any calendar year, such licensee shall pay the minimum fee as specified under Paragraph 1 without the obligation to pay the fee based on business volume. Clause 7 4 A securities

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at

date of submission of the application. In this regard, such attendance shall continue from the previous one and shall be required at least once every two calendar years as from the calendar year of

activity The Contacts may accumulate their participation hours in the activities accepted by the Office provided that at least 15 hours of attendance are achieved during the latest two calendar years prior

one and shall be required at least once every two calendar years as from the calendar year of passing the course, or (b) having attended a full course relating to securities and exchange laws

containing details on providing services to customers outside prescribed office hours and not on premises of the head office or branch office, as the case may be, for every calendar year and shall keep the