professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of business undertaking; “executive

assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases

of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or

client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply