company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the

at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to

the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody at least once a month in

once a year: (1) conduct testing on the business continuity plan with members and involved persons; (2) have the results of the testing under subclause (1) evaluated by a person with required knowledge

Company shall make a full repayment of the utilized amount within the last day of the 15-month period following the utilization of the 1st Loan Portion. http://www.bot.or.th/ Enclosure 3 3 Capital I once

Capital I once all of the conditions under the Credit Agreement have been fulfilled (please see the 1 Including registration of the Company’s paid-up capital resulting from the allocation of the newly

short sale; (4) collect the information and evidence of each client in a separate folder which shall be updated on a regular basis; (5) review the client’s limit under (1) at least once a year or upon any

shall continue to monitor and / or cooperate with the Company until the relevant registration is completed, including but not limited to the registration of the license agreement once the patent has been

regard, the Seller shall continue to monitor and / or cooperate with the Company until the relevant registration is completed, including but not limited to the registration of the license agreement once

SEC Office, if there is a necessity causing any person to be unable to sign on the Registration Statement, once such necessity has ended, the securities offeror shall immediately have such person affix