period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or
board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company
: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name: ____________________________________________________________________
: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name: ____________________________________________________________________
once a year at least. Moreover, for the determination, modification or alteration a value of parameter, it shall notify to concerned person each time. [M] · For the using other tools to inspect the
Office at inva@sec.or.th. The Office will further publish the questions and answers on its website. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Enclosure: The
) Other bodies (please provide details: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name
Tel: 0-2263-6246 or email: sireetho@sec.or.th . Please kindly be informed accordingly Yours Sincerely, (Ruenvadee Suwanmongkol) Secretary-General Enclosure: Photocopy of the Memorandum of Understanding