legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means

with each other as parent company or subsidiary , or each legal entity in such group is held by the same legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty

in Paragraph 1(1) shall be the accumulation of all such persons. Clause 27 The management company may allot the units to the exempted persons exceeding the specified rate in Clause 26(1), but not

activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2

as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including

interest Total 1. Balance at the beginning 25x0 x x x x x x x (x) x x 2. Accumulation from write off x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between a period 4. Appraisal surplus x x 5

collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents