needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a derivatives trading with the
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
relationship or gave professional services, or if the person appointed to be an independent director has or had a business relationship or gave professional services exceeding the permissible value under the
suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007, the management company shall
from the date on which such matter occurs and it shall be deemed that the securities company is given an exemption by the Office from appointment of independent director during such period. Clause 3. Any
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
Securities and Exchange Act B.E. 2535 (1992) provides that a securities company shall prepare a balance sheet for each accounting period and such balance sheet shall be audited and given an opinion by an
undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
securities business. Clause 8. The approval to be listed in the register of person qualified to be property fund manager is given for two-year period, the first approval takes effect as from the approval date