of total shares sold of such legal entity; (3) 2 have objectives to operate securities business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
interpreted as having effect in substitution for or supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The SEC Office
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
for or supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The SEC Office, accordingly, cannot undertake any
construed or interpreted as having effect in substitution for or supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The
Securities and Exchange Act B.E. 2535 and shall not in any event be construed or interpreted as having effect in substitution for or supplementary to the Thai version thereof. Please note that the translation