Translation (Translation) PAGE (Translation) -29- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
UNOFFICIAL TRANSLATION Codified up to No. 2 As of 5 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
Translation (Unofficial Translation) (Translation) -8- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification 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. 4 Notification of the Securities and
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document