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

deal with having conflicting demands on time from clients and/or management responsibilities and how are they supported? 2 How does the firm ensure that partners have sufficient time needed to maintain

securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds

scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly

refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company

complex capital market products, and [ii] supported by written materials and nformation; (4) advise on the client’s suitability for investment in or entering into transaction of risky or complex capital

prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the annual registration statement in the following year, the Company shall clarify if and how the actual

into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the