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disruptions Examples of emergency incidents are classified into a group for clearness and being a guideline for intermediaries for analysing possible impacts of various crises in order to specify more extensive

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

. Clause 18 At the time the derivatives broker agrees to provide the service to the client, the derivatives broker shall put in place a written agreement which provides that upon the client’s request for

rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office

document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering

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

controlling employee of securities trading, and such other information under possession of the securities company, upon receiving a request by the other securities companies within a reasonable period; (3

(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