compliance and oversight framework in place, and to notify the SC of any occurrence of the non-compliance and any other events that have a material adverse impact on investors. • RRs must at all time satisfy

SHARE : SEC and Thai Digital Asset Association in collaborative discussion to strategize digital asset advancement and oversight Tuesday 26 December 2023 Documents SHARE : Building Confidence in the

and Audit Oversight >   Auditor Supervision >   Related Rules and Regulations Regulations SHARE : Detail Content ​​​Financial reporting and audit oversight   2. Auditor supervision ​   Relate Rules and

Reporting and Audit Oversight >   Supporting Accounting Profession to be in line with International Standards Regulations SHARE : Detail Content ​​​ Financial reporting and audit oversight   1. Supporting

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1

, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification

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Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a