Office of the Securities and Exchange Commission SorThor. 41/2543 Re: Approval for the Execution of Derivatives Transaction Outside the Stock Exchange of Thailand 08/09/2000 26/09/2000 6. Report/Form
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
standards of intermediary’s personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or
(Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section 106) |- Accounting and Financial Statements (Section 105