regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of

fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of

_______________________________________________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No.: __________________________ Part F: Auditor of the Financial Reports of the

once a year to ensure the correctness of assets in custody. 4. Document keeping system for checking evidences of money or assets transferring of the fund for at least one year. Chapter 3 System to

the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form

in any matter, clarify the causes for such failure. The disclosure may be in the form of reference to other relevant clarification in other topics or other reports disclosed to the public via the

other relevant clarification in other topics or other reports disclosed to the public via the Company's website. 9.1 Corporate governance policy Specify corporate governance policies of the Company and

document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities