. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit

Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and

receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 5 An approved person shall take the following actions

from the date of receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 4 An approved person shall take the

Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

Paragraph 1 within sixty days from the date of receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 4 An

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

infrastructure business operators; (b) being an infrastructure business whose operation generates benefits to the general public indirectly in the areas of health, environment, life safety and asset protection; (c

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and