SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws

procedures for consideration of granting an approval as stipulated by the Notification of the SEC Office. Division 2 Period of Approval and Renewal Clause 16 The approval of personnel in the capital market

consideration of granting an approval as stipulated by the Notification of the SEC Office. Division 2 Period of Approval and Renewal Clause 16 The approval of personnel in the capital market business shall take

guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of

of consideration of my application and supervision of my duty performance throughout the approval period. For your kind consideration. Yours Sincerely, Signature

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature

deliberation within 30 days from the date on which the Securities and Exchange Commission has received the proposal from the SEC Office. The precious metal derivatives brokerage license form shall be in