Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators

this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

shall report the appointment or the termination of appointment of representatives to the Office as per the forms and procedures as provided via the electronic system of the Office within the seventh

Commission concerning Forms for Financial Statements of Securities Companies , issued by virtue of the Securities and Exchange Act B.E. 2535 (1992) and shall proceed according to the explanations as attached

) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can

limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque

approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the