) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

the internal audit unit promptly and following up on such improvement. Notified this 11st day of October 2000. - Signature - (Mr. Prasong Vinaiphat) Deputy Secretary-General Acting Secretary-General

service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4

records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve

which the company is unable to maintain such adequacy, and inform the improvement to the Office within two business days from the date of the improvement. Clause 5 . During the period that the investment

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

issues for improvement (if any). 6. List of audit engagement clients in the previous accounting period and the associated fee For the purpose of conducting audit quality control system inspection, the

personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such