meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator

committee before the appointment of such custodian. In seeking the consent under the first paragraph, the private fund management company shall explain the connection with the connected person under the first

sensitivity analysis, the management company or the financial advisor, as the case may be, shall explain the differences between the appraisal report in (b) and such financial forecast (if any) as well; (d) the

when receiving the report for the purpose for gathering problems and inspect the cause, including study as a guideline to dissolve and prevent problem. [A] 4. report preparing control · Asking for

acquire assets or business unrelated to the operation of the current business: explain the reasons and backgrounds for the acquisition of such assets or businesses as well. 2. To acquire assets or finance

, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the

/scheme and investment restrictions that are required by the laws and regulations. (3) Having risk management system for the risk which may occur. (4) Determination of the investment committee meeting to be

date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.

businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said

Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to