; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and

The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules

” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by

decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called

period as specified in the notification of the SEC. SECTION 16/6. The Capital Market Supervisory Board shall have the power and duty to perform any other acts under the provisions of this Act or other laws

Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the

market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this Notification comes into

) Signature affixed in the company’s audit report pursuant to Clause 3 of the Notification of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market since ............(YEAR