supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and Exchange Commission together with supporting

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008) shall submit an application form together with supporting documents and evidence in accordance with

consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

past 3 years; 2. Audit Firm Profile and Details. I hereby certify that: 1. The information provided in the Form of Audit Firm Profile and Details and the supporting documents attached therewith is

needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause

the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. Clause 3. Except as provided by Clause 5, a securities company may use back office service from any