experience, for example, education, employment record/ affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified

financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records

has sound financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts

listed on the SET through backdoor listing,  those with no track records on business self-building, and those with their business growth achieved mainly through acquisition of other businesses. Besides

| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory

PUBLIC COMPANY LIMITED KPMG PHOOMCHAI BUSINESS ADVISORY COMPANY LIMITED KPM SECURITIES COMPANY LIMITED CREDIT SUISSE SECURITIES (THAILAND) COMPANY LIMITED CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK

committing fraud, misappropriating the company's assets and falsifying accounting records by executing concealed transactions through several associated companies abroad to exaggerate the company's operating

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also