) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on

date, collateral and other significant terms such as the right to put and call options and borrowing criteria, and the latest credit rating of such debenture or bill, or the issuer rating or the

the real estate has an income guarantee, specify significant information such as conditions of the income guarantee agreement and information on the guarantor and credit rating (if any); - summarized

trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity

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

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

AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific

2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3

Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5

…………………………………………………………………………………………………………………………  Employee. Please specify the name of the employer ………………………………………………………………………………………………………………………..… Please specify the type of the employer:  Intermediary  Listed company / issuer  Auditor / audit firm