1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
This instruction follows CIG’s letter dated 4 September 2025 explaining details from its Board Meeting No. 7/2025, including supporting information on the Board’s resolution to acquire ordinary
client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC
million due to corresponding to EGAT’s dispatched instruction resulting in higher fuel consumption. • Small Power Producer (SPP): The gross profit increased by Baht 2,115 million as a result of the first
gas decreased by Baht 343 million corresponding to EGAT’s lower dispatch instruction from Sriracha Power Plant. • The total cost of sales of goods and rendering services of Small Power Producer (SPP) in
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold