considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the

with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of

that all information provided in this application and its attachments are true and correct. Full name as per Passport Signature Date signed (DD/MM/YYYY) Fast Track ISQC1 Paragraph 12 Network – A larger

outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the

and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit

account or the cancellation date of the agreement. Clause 17. An agreement which a retail client appoints the securities company as his or her securities broker, shall bear a statement of larger fonts, or

shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the

handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous