Earlier, the Audit Committee of CMO had informed the SEC of the issues raised by the auditor from the audit of the company’s financial statements as follows: an irregular withdrawal of advance

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

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

are allowed to outsource without seeking for the SEC approval; they simply need to notify the SEC in advance, if the outsourcees are as follows;  (i) a financial institution, (ii) a subsidiary of the

without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution

UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and

UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange

Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand

(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the