investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

เข้าประชุมเพื่อขอรับฟังความคิดเห็น เรื่อง แบบรายงานธุรกรรมด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้า เมื่อวันที่ 18 มกราคม 2551 โดยกำหนดให้ส่งแบบรายงานการประกอบธุรกิจ (Activities Report) ต่อสำนักงานเป็นราย

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9

at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control activities in order to prevent or minimise possible damage. In this case, the

. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify __________________________________________________

.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules (Annex 3) of the MOC? Yes No If “No