establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date

branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

one half of the curriculum, based on number of subjects studied, comprising courses on finance, investment, accounting or economics.

. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing

trading , there shall be a parameter for an automated program for capital market product selection and trading placement. In this regard, the intermediary may appoint an investment committee comprising the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................