Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

the conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is unable to maintain such status but intends to continue undertaking the derivatives business as

. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is

management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to

mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such information, the management company shall

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for

any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be