Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of
trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s resolution accordingly. Notified this 1st day of
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
Transactions attached hereto. In this regard, personnel performing duty under Clause 4(1) (2) or (3) and granted a waiver by the SEC Office shall be exempt. Clause 14 Personnel in the capital market business
Derivatives Act B.E. 2546 (2003) or the Trust for Transactions in Capital Market Act B.E. 2550 (2007) as specified on the list attached hereunder; (4) being a person whose name the SEC Office has been rejected
clients’ suitability for investment in or entering into transactions of capital market products shall be revised and updated at least every two years; (c) the information for consideration of clients