.  Post-Approval Duties         Complying with the specified rules: ​​​​performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other

approval if he/she              wishes to and has to file application and supporting documents in advance before the end of           approval period.      5. Post-Approval Duties         Complying with the

fails to maintain the capital in accordance with the Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the

Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the capital in accordance with the Notification concerning

applicant is not in breach of any condition in complying with the terms and conditions; (8) in cases where the applicant is a Thai entity, it shall comply with the additional requirements prescribed under

1/12 A foreign auditor having the characteristics and complying with the following rules shall be approved by the SEC Office to perform audit work and affix signature in giving opinions on the

complying with international standards with relevant parties in the Thai capital market.   More details on Policy Committee on International Accounting, Auditing, and Disclosure Standards can be found at

securities underwriter as prescribed in Clause 5 or a person as prescribed in Clause 6 would be able to subscribe such securities by complying with the following conditions; (a) in the book building process

person as prescribed in Clause 6 would be able to subscribe such securities by complying with the following conditions; (a) 7 in the book building process, the bidding price proposed by the underwriter

should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information