License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the audit engagement

to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person

be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to

registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office

experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...