years as of the date of submission of the application, the applicant shall have attended a training course relating to the same areas administered by the association or a training institute in any of the

securities business or derivatives business: O yes O no Form as of 25 July 2006 6.18 Having been a director, manager or person with managing power of a financial institution who have participated in causing

Thailand Securities Institute for no longer than two years on the date of submission of application or if more than two years, had attended a training course of a training institute or training course

application date, the applicant shall have attended one of the following training courses arranged by the association or the training institute: (a) having attended a refresher course relating to securities and

2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment

___________________ Clause 10. In renewal for approval for investor contact, the applicant shall: (1) having attended a training, activities, or additional courses to review the relevant business knowledge and

…………………………………………… In offence relating to …………………………………………… Under the law…………...………………. (attachment) (if any) O No (6) is or previously has been an executive who have participated in causing damage or must be jointly

joined the client as a director or in a key management position? 3 Family/Personal Relationships: Do they require that partners and professional staff report any immediate or close family and other

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...