Work flow Period Responsible agency with foreign audit regulator or other methods as deemed appropriate. 3) Signature / Resolution of the Board The responsible department proposes consideration results

) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in

without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution

UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange

Name of auditor affiliated with audit firm  Financial statements audit  Financial statements / information review  1. Unmodified opinion  2. Qualified opinion due to (can choose more than one): ฆ 2.1

(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission

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

Notification: (1) “audit firm” means an audit firm where an auditor is attached to and conducts audit work for; (2) “financial institution” means: (a) a commercial bank, finance company or credit foncier company

issuing this Notification is to permit precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives business in the category

________________________________________________________________________ Remark: The Rationale for issuing this Notification is to permit precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake