Securities Business B.E. 2551 (2008) as amended by Ministerial Regulation concerning Granting Approval for Undertaking of Securities Business (No. 2) B.E. 2555 (2012) , the Securities and Exchange Commission

category of derivatives dealer in its home country where it is subject to an official supervision or a derivatives trading regulator whose regulation on certain derivatives business is equivalent to those

suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify __________________________________________________

home country where its official agency or regulator is a member of International Organization of Securities Commissions (IOSCO), whose regulation on certain derivatives business is not inferior to those

: _________________________________________________ 11) Home Economy of CIS Operator: _________________________________________ 12) Home Regulator of CIS Operator: ________________________________________ 13) Address of principal place of business

Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4

Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018 specifies that [ in case of outsourcing to a

: ________________________________________ 12) Home Regulator of the CIS Operator: ________________________________________ 13) Address of principal place of business: _______________________________________

securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By