capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is

innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make

Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures

date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.

procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and

Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to

investment units which are entitled to voting; (2) In cases where the resolution is requested by convening a meeting of unitholders, the resolution shall be passed by at least three-fourths of the total

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

Office on a continuing basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts

unitholders’ meeting whereby the units shall be offered for sale to every unitholder equally, and shall not be offered for sale to any unitholder who will cause the fund or the management company to have duties