The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the

financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator

business operator, (iii) an audit firm where the SEC-approved auditors work, (iv) the Stock Exchange of Thailand or its subsidiary whose shares are held by the SET at least 75%, or (v) a service provider

payment, a consulting payment without receiving service reports from the contracted party, and the reasonableness of the investment in purchasing additional shares of subsidiaries at the amount of 65

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audit firm;   (2)  To relax the requirement on the number and nature of business whose financial statements must be given an opinion and affixed with the auditor’s signature, as well as to adjust the

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

of 2.09 percent on a year-on-year basis. - The firm booked a deferred tax adjustment at 8.49 million baht at one subsidiary; hence, the tax expenses declined. For the nine-month operating period ending