, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
authorities. The duties required under such legislations pose a different type of risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned
with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications
, completeness or fairness of the information or opinions contained in this presentation. None of Singha Estate nor any of its shareholders, directors, officers or employees accepts any liability (in negligence or
deliberation or gross negligence. Notified this 21st day of November 2012. - signature- (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Note: please note that the
or supporter, with premeditation or gross negligence; (2) sanction already imposed on such auditor; 8 (3) impact on or damage to relevant parties such as money market, capital market, the general