certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any

of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

mobile devices; (7) arrange for actions to mitigate impact when an information security incident occurs, for example, immediate disconnection upon being aware of an incident, etc. In the case that the

สมาชิกสำนักหักบัญชีตกลงให้ TSD โอน-รับโอนหลักทรัพย์ผ่านบัญชีด้วยวิธีการโอนทางบัญชี (Book Entry) จากสมาชิกรายหนึ่งไปยังสมาชิกอีกรายหนึ่ง ซึ่งจะโอนหลักทรัพย์ตามรายงานข้อมูลการชำระราคาและส่งมอบหลักทรัพย์ของ

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

immediate review shall be done when any circumstance occurs which may affect the qualifications or prohibited characteristics of the service provider or may cause violation of the regulations as prescribed in

shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office

Clause 27 in a manner that it is readily available for immediate request or inspection by the SEC Office, and shall maintain such documentation for at least five years from the date of the closing of the