Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to

10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator

. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if the management company does not comply nor proceed within the

be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s

indicate an attempt to avoid transactions being detected or reported, or the client requests the securities company not to report certain transactions. Clause 21. Securities company shall establish a proper

requests for the postponement of the consideration and where the arbitrator deems it appropriate to postpone the consideration, such postponement shall not exceed two times. The arbitrator may charge the

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

qualified to be fund manager. In cases where the person obtained approval for renewal to be listed in the register of person qualified to be fund manager requests for the letter showing the result of the

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

employee’s membership is terminated or beneficiary that can be easily contacted (in the case where the member requests for depositing his money in the fund) (a.6) contribution rate and benefit (a.7) cause of