guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

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

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

contained in the Registration Statement is vested in the issuer. If the Registration Statement contains any false statement or particulars or omits to state any material information which should have been

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

. General information and other material facts 19 Part 2: Corporate Governance 6. Corporate governance policy 21 7. Corporate governance structure and material facts related to the board, 23 subcommittees

shall have the power to specify the particulars which are material to the agreement. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to