shall come into force from 6 January 2004. Notified this 23rd of April 2005. Suchat Jaovisidha (Captain Suchat Jaovisidha) Minister of Finance Chairman of the Securities and Exchange Commission
work for such persons to have full or partial managing power in the securities company.
January 2004. - Signature - (Captain Suchat Jaovisidha) Minister of Finance Chairman Securities and Exchange Commission 2 1
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no
shall come into force as from 6 January 2004. Notified this 23rd day of January 2004. Suchart Jaovisidha (Captain Suchart Jaovisidha) Minister of Finance Chairman of the Securities and Exchange Commission
January 6, 2004. Notified this 23rd day of January 2004. (Captain Suchat Jaovisidha) Minister of Finance Chairman of the Securities and Exchange Commission Remark : The Notification of the Securities and
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
Notification until such payment is made in full. Clause 9. This Notification shall come into force from 1 January 2004. Notified on this 30th day of December 2003. (Captain Suchart Jaovisidha) Minister of
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or