. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies

Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

unable to demonstrate such items, provided that it shall have the following items at least, 1. General Information: 1.1 the location or the head office or the main place for business operation and legal