No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

concerning Rules on Application for Approval and Granting the Establishment of Branch Offices of Intermediaries . Clause 39 In providing services for acceptance of trading orders of capital market products

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC

shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase

the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement

................................................... This Audit Firm Profile and Details is made under the Notification of the Office of the Securities and Exchange Commission on Approval of Auditors , which requires that the auditors who are approved by