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appointment for examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally

Forms of Securities Companies dated 25 May 2004 was published in the Government Gazette Vol.120, Part 152 Ngor, Special Issue, dated 31 December 2003. The Notification of the Office of Securities and

Remark: The Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies dated 25 May 2004 was published in the Government Gazette Vol.120

: The Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies dated 25 May 2004 was published in the Government Gazette Vol.120, Part

Marketing Representatives of Private Funds dated 5 January 2005, published in the Government Gazette, Book 122, Special Section 5 Ngor, dated 17 January 2005 The Notification of the Securities and Exchange

Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds dated 5 January 2005, published in the Government Gazette, Book 122, Special Section 5 Ngor, dated 17 January 2005

Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds dated 5 January 2005, published in the Government Gazette

Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of Executives of Securities Companies dated 17 January 2005 published in the Government Gazette on

2005 published in the Government Gazette on Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2549 Re: Qualifications and Other Prohibited Characteristics of Executives of