hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
categorized by business units, the income structure of the latest year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35 percent of the total income respectively. Such
of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall
securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph
of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35