supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office

unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following

person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to

restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money

necessity prior to the end of the 30 day period, the Office may extend the consideration period as necessary. Clause 6. In cases where it is found out later that shareholding structure of the financial

Warranty The company has reviewed the information stated in this Information with Representation and Warranty of Company’s Director and Executive and found no reasonable ground to believe that information

Derivatives Act B.E. 2546 (2003) and the Notifications issued thereunder. Form as of 25 July 2006 O the company found that the following persons have certain prohibited characteristics, however, the company

within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody

the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and

is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the