keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity

Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e

custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b

private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe

providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured

knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief

approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1