Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform

perform duty as director, manager or person with power of management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person

licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted