this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission

application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand

high-risk or complex characteristics outside the offices of intermediaries shall comply with the regulations under Chapter 7. Clause 4 In cases where there is a necessary and reasonable ground, the SEC

market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries

brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the

movement of money and assets of the fund, and approve money and asset transferring for the purpose other than those provided in 1 and 2. 3.2 External auditor to perform the audit of the fund assets at least

according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

the use of cryptographic controls and key management for protection of sensitive and critical information; (3) policy on the transfer of information within organization’s networks and with external

of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours