แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and

approved by the Office of the Securities and Exchange Commission as qualified to be appointed as property fund manager; (6) “Manager” means a person assigned by the board of directors to take the highest

case such person has already been approved by the Office and this application is filed due to change of position/power in management/independence, photocopy of identity card/census registration

power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish

manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A