Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have

law of Hong Kong*; (c) Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand; (d) Evidence on the appointment of a local representative in Thailand as the

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by

established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS

appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company

Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary ______________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act

Securities and Exchange Commission  SorThor. 7/2557 Rules on Appointing Independent Director of an Intermediary   03/06/2014 01/07/2014 9. Notification of the Office of the Securities and Exchange Commission