regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining

on the list of Signatory A of the Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any

on the list of Signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any

Certification Program (DCP) [  ] Director Accreditation Program (DAP) [  ] Audit Committee Program (ACP) [  ] Finance for Non-Finance Director (FN) [  ] The Role of Chairman (RCP) [  ] Understanding the

consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the

: (1) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2