The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

Currently, securities companies provide margin loan services to investors to enhance opportunities for higher returns on investments. However, the SEC has observed that many stocks used as

market and foreign laws is conducted. The proposals resulting from this study will be greatly beneficial to amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to enhance

control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the https://www.sec.or.th/EN/Pages/LawandRegulations/AuditorAccount.aspx

resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the

UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and

UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange

Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the

(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission