Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 5232731155936989369

Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 13592060535677990824

request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance

information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business

derivatives business operator may request the customer to transfer such securities into its account to be held for such customer. When the derivatives business operator is required to transfer the securities

(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature

securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the