been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification

significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

process for proposed changes; - establish a verification to ensure requirements of IT security policy have been met; - communicate change details to all relevant persons to ensure correct operations

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

times. In case the representative fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company