honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and

................................................ รายช่ือเจา้หนา้ท่ีการตลาด ของบริษทั1 หมายเลขประจ าตวั เจา้หนา้ท่ีรับอนุญาต2 (trader ID) หมายเลขโทรศพัทท่ี์ เจา้หนา้ท่ีการตลาดใชใ้น การติดต่อลูกคา้3 รายช่ือลูกคา้ใน ความรับผิดชอบ4 ขอรับรองวา่ขอ้มูลขา้ง

. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These

effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the

Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the same standard, the

appointment of a person, who has registered as bond trader with the Thai Bond Market Association, to be investment consultant for providing consultation on debt securities for institutional investors on behalf

brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond

representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond Market Association, to be investment consultant for providing consultation on debt securities for

which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system

operating system that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures