UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015
release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the transaction date, the margin call date, or the release date of such analysis report or
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval
requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at
comes into force in B.E. 2559 (2016) and the sixth amendment of the Securities and Exchange Act which comes into force in B.E. 2562 (2019), the English translation has been revised by the staff of the SEC
personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage