department of the audit firm, an independent agency, or a network firm have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Capital Market Auditor Authority: the Office of the Securities and Exchange Commission (public agency) Rules, procedures and

(if any) Issued by Governmental Agency Photocopy: 0 copy Remark: Sign by the leader and the authorized signatory of the audit firm. 6) Result of Working Paper and the Audit Quality Control System

Agency Photocopy: 1 copy Remarks: Sign to certify on every page by the leader and the authorized signatory of the audit firm, and the audit firm’s seal on every page. 7) Profile and relevant details of the

auditing of the financial statements without the requirement to comply with other rules stipulated under this Notification: (1) being a foreign governmental agency who has the duty to perform financial audit

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

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

. "B =: 54 Level I u A(* OTC Level II, III - & #% A(* -: Global Firm & &#& #% A(* * ".+'* A(* OTC * & #% A(* -: &# '* ".+' #H& #% A($ /&#* * ". * CD/5DE:B2/7 85 !"#71F70G"H< =3 4I Custodian

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

foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage