Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
the following persons to the SEC Office through a system prepared on the website of the SEC Office within 7 business days as from the occurrence of such circumstance: (1) persons under Clause 5, Clause
service providing procedures. To reduce details in methods and procedures for the communication and service providing procedures under Paragraph 2, clients shall be informed of the information and risks of
management official could make derivatives trading decision for its clients (day-to-day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such
approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or
than 100 million Baht; (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work
any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the