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 acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
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
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
affect the conformance of such policy, the board of directors of the intermediary shall be informed without delay. Additional Guidelines 5. In complying with Clause 6(4), the intermediary should undertake
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
renewal of approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such