with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

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

the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute

after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and regulations as well as ethics and professional

function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved

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

will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental