opportunities or constraints – for example, obtaining a business license, concession or investment promotion – and clarify the respective benefits thereof as well. In the event that the Company or a subsidiary

independent director shall: (a) hold shares of not more than five percent of all shares with voting rights of the securities company, parent company, subsidiary company, affiliate company or person who may have

case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such

, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please specify in detail) Name of Company amount (shares) proportion of shares holding

such relevant Notes; (2) If persons with a conflict of interest hold shares in a subsidiary or an affiliate collectively at a total amount of more than 10 percent of the total voting shares of such

subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates

regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined

securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and

in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives

) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person