securities investment analyst under the notification of the Office of the Securities and Exchange Commission governing arrangement to have and approval for securities investment analyst and standards of

; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of

have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office

take effect as of the date when an approval is granted, but the 2-year period shall begin as from the 1st day of January of the following year. In case an approval to be which one of investment analyst

renewal of approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser

first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or

Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the

investment units via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application