audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the

of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality

other three (Mr. Thanaris Pornpattanajamsai, Miss Audcharapron Radchanajun, and Mr. Saksumit Samornpitakul) refused to give consent to the civil sanctions. Consequently, it is deemed that the three

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. 2  Institutional investor. Please specify the name of the intermediary / financial

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. phanchul Typewriter [Input date] phanchul Typewriter [Fill in ALL latest applicant's

​ ​ Asset Management Businesses​ ​Credit Rating Businesses https://www.sec.or.th/EN/Pages/MarketData/InformationofIntermediaries.aspx English (United States) CreditRatingBusiness / Derivatives Businesses

บนัจดัอนัดบัความน่าเช่ือถือท่ีไดรั้บความเห็นชอบตามหมวดน้ี ตอ้งด าเนินการให้เป็นไปตามหลกัปฏิบติัในการประกอบธุรกิจการจดัอนัดบัความน่าเช่ือถือ (Code of Conduct Fundamentals for Credit Rating Agencies) ท่ีก า

form) มีผลใชบังคับ 1 วัน ทําการนับแตวนัที่ยื่นขอมูลครบถวน • มี rating เปน issue , issuer หรือ guarantor rating ก็ได 3) เสนอขายแกผูลงทุนทั่วไป (PO) การเสนอขาย II&HNW และ PO มี เกณฑ filing แบบ

) “ ” “ derivatives” 1. derivatives 2. derivatives “ CIS” 1. 2. CIS “ ” 270 “B/E” (Bill of Exchange) “benchmark” “CIS operator” 1. . 2. CIS “concentration limit” “counterparty limit” “CRA” (Credit Rating Agency) 5 5