invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
the trading transactions of securities brokerage licensees who are not members of the Stock Exchange; (b) the trading value of debt securities. (2) the license fee for non-members of the Stock Exchange
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading center” means any securities trading center under the Securities and Exchange Act. “securities clearing house
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
performing any other act relating to listed securities trading of the client in order to comply with the order of the Stock Exchange of Thailand, the Securities Depository, the securities registrar, the
deemed to have the permission to use back office service from the Office, if the service providers are as follows; (1) The Stock Exchange of Thailand; (2) Limited company or Limited public company
exchange? Yes No If yes, please specify the name and country of the stock exchange Do you have any experience relating to the audit of the financial statements of the public interest entities whose shares
trading of the client in order to comply with the order of the Stock Exchange of Thailand, the Securities Depository, the securities registrar, the clearing house or the SEC Office in cases where it appears
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or