appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the

is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the

approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

securities companies, an officer of the Bank of Thailand or of the Office, except in cases where: (a) an appointment is made with the approval from the SEC for the purpose of assisting in the operation of a

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

damage to the operation of the securities company and customers. Therefore, for the purpose of preventing risks arising from using information technology in the operation of the securities company and for