/ [(the number of employees at the beginning of the period + the number of employees at the end of the period)/2] Position Names – Last Names Leader of Audit Firm 1. Persons with the highest responsibility
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
attended by over 80 regulators and audit firm representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and sufficient information that should be informed
making of investors significantly or ensures equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and
account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the