/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
company, the company shall maintain either collateral or liquid asset or both with adequate value as prescribed by the Office, and calculate and report of maintaining collateral and liquid asset adequacy in
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
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
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect 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
that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of