Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
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of identical written form and one of which shall be given to clients as evidence. In cases where the service contract of securities registrar is lost or damaged and clients request the securities
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
to the public without the necessity to request for permission from SEC, according to the meeting resolutions of SEC Board on 1 August and of the Capital Market Supervisory Board (CMSB) on 5