reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

structure, operational systems or other events which significantly affect the operations, intermediaries shall take the actions required under (1) without delay. Clause 9 In the event that a major operational

policy. In the event of changes in the organizational structure, operational systems or other events which significantly affect the operations, the securities company shall take the actions required under

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or

auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding

person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final

beneficial facts or evidence in the trial of the case or the proceedings, or concealing or destroying the evidence of the case or giving false statements, etc.; Clause 4. A person having the prohibited

securities company which prevents conflicts of interest or unfairness to clients under Clause 12(8)(d) of the Notification on Standard Conduct of Business shall include the following proceedings: (1

criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception