including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as

/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

as prescribed by the accounting principle. 26. Retained earnings (deficit) 26.1 Appropriated 26.1.1 legal reserve means the reserve separated from annual net income under the Civil and Commercial Code

ตลาดหลักทรัพย์ ที่ สน. 41/2560 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุนสำหรับ ผู้ลงทุนสถาบัน (Investment Governance Code for Institutional Investors) ลงวันที่ 3 สิงหาคม พ.ศ. 2560 เพื่อกำหนดหลักเกณฑ์

owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of

accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

of advice is solely a part of or an incidental to the conduct of business as a derivatives broker or a derivatives dealer, or any other persons who give advice in a manner as specified in the