and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

. Clause 4 An applicant may obtain precious metal derivatives brokerage license by possessing the following qualifications: (1) having paid-up registered capital not less than 100 million Baht; (2) not

the total voting rights shares. Clause 4 An applicant may obtain precious metal derivatives brokerage license by possessing the following qualifications: (1) having paid-up registered capital not less

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to

. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature