approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
for each staff level? If yes, how does the firm communicate them to its personnel? 8 Does the firm include quality of work perspective in its Job description and its evaluation form? 9 What criteria is
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
analysis (MD&A) and the Company’s financial condition according to the Management’s perspective accompanied by the causes and relevant factors – if preferred, represented by diagrams or graphics as seen
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting