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

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification

securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company

financial condition and the operating results of the current year; - Minimum description shall cover operational overview, impacts of major incidents or factors. This includes business/company merger

ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

derivatives trading. Clause 24. In the case that a client wishes to enter into derivatives trading which involves specific risks that are different from those indicated in the risk disclosure statement under

providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider