. Notified this 3rd day of June 2014. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Remark : The contents in brackets [….] have been provided in
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
regarding derivatives contracts or suitability for purchasing and selling derivatives contracts, based on the amount of advisory contents in accordance with the rules and procedures as prescribed by the
the Securities and Exchange Commission Note: please note that the contents added in brackets [….] have only been provided in the English version for clearer understanding. the law on interest on loan
-Signature- (Pakorn Malakul Na Ayudhya) Secretary-General Office of the Securities and Exchange Commission Note: please note that the contents added in brackets [….] have only been provided in the English
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
that the contents added in brackets [….] have only been provided in the English version for clearer understanding. law on financial institution business means Financial Institution Business Act B.E
Private Fund Custodian and certify that the contents contained in the application for approval and supporting documents attached hereto this application are all true and correct. Signature