to renew an approval to be investor contact. In case the investor contact obtained approval for renewal requests for the letter showing the result of the renewal application referred in the second

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the

of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by

having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1

client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing categorization to be treated as retail investor. Clause 34 For

in details in Chapter 7. As a result of promulgating this Notification, [i] the Notifications as prescribed in the Notification of the Capital Market Supervisory Board No. TorThor 34/2556 Re

(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should

company or its subsidiary which may be misleading or in concealment of the any material fact which should have been expressly disclosed which may affect the decision of shareholder, investor or related