as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as

percent of the amount of compensation claimed, but not less than five thousand baht. The arbitrator shall determine which party shall pay the arbitrator’s fee. In case of joint dispute filing under Clause 8

: Representation and Warranty 3.1 Director and Executive’s Representation and Warranty (a) I have given the company my personal information as stated above and hereby represent and warrant that all information and

/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to

the exchange of information [bilateral MOU] of which essences are the same as MMOU, including has legal power to provide assistance to the SEC Office as stated in the memorandum of understanding; (3

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

conceal material facts which should have been stated in any document to be disclosed for application for approval of major shareholders of the securities companies or other document submitted to the Office

accordance with this notification and its guidelines specified for implementation in accordance with this notification. Clause 28/1 Apart from stated in this, the SEC Office has the power to issue any specify

prescribed under the said notifications except for a case where there is difference in procedures which does not result in any material change of the qualifications stated in the application. Clause 26 Any

independence? a. If “yes,” identify the relevant policies and procedures. b. If “no,” describe how the firm differentiates the types of services performed Does the firm have a policy stated prohibited non-audit