extent that such rules are not in conflict or contradiction of the principles for supervision of foreign auditors, in any case, subject to the following rules: (1) in the case where the applicant for

client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a

prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into

the Share Purchase Agreement by August 31, 2017 (“Exclusivity Period”). During the Exclusivity Period, there was inconsistent circumstance and there were confidential information relating to this

disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of

and protect confidential information of private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel

contradiction between the requirements under the two parts, the provisions under this Notification shall be applied. Clause 5 Structured notes with any of the following features shall be exempted from this

1. Basic info แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและ แผนการปรับปรุงแก้ไขข้อบกพร่อง ("แบบรายงานผล IT audit") Version: 1/2566 Confidential ภายใต้ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ

) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992) , the Derivatives Act B.E. 2546 , the Trust for Transactions in Capital Market B.E

under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992) , the