E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of

. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.

Securities and Exchange Commission No. Sor Thor. 17/2551 Re. Report Preparation and Submission of Licensed Derivatives Brokers (No. 3) dated 4 June 2008. Clause 2 In this Notification: “ business operator

Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the