Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or

. Balance at the beginning of 25x0 x x x x x x X (x) x x 2. Accumulation from correction of mistakes x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between two periods 4. Appraisal surplus x x 5

approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

companies undertaking securities business. There are two types of investor contact , i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to

date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5

; (b) the information for the purpose of assessing clients’ suitability for investment in or entering into transactions of capital market products shall be revised and updated at least every two years

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the

largest shareholder (s) in such legal entity ใบแสดงสิทธิในผลประโยชน์ที่เกิดจากหลักทรัพย์อ้างอิงไทย (NVDR) สัญญาซื้อขายล่วงหน้าที่อ้างอิงราคาหรือผลตอบแทนในหุ้นของบริษัทจดทะเบียนที่มีการซื้อขายใน TFEX (stock