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.

of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in such

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

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

professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in

guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause

fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual

necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

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