Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law

being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal information in

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

from interests which allocated as a cash flow from operating activities. The remarks of financial statement ( The footnotes to financial statement) The Securities company shall disclose detail in the

policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

………………………………….................................. Detail of such incident ………………………………..…..……................. …………………………………….………….………. (attachment) (if any) O No (7) Had the behavior which inclines to be dishonest: O Yes (please specify) For example

functions which companies use via a service provider. Also, companies should specify in detail of practical approach into the BCP to be suitable for size and complexity of business operation of companies and

and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities

have the power to specify in its notification the rules with which derivatives business operators shall comply.