guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets

Firm level………………………………………………………………. (Please specify the inspected ISQC elements.) (4) Summary of inspection results …………………………………………………….… (Please specify risks associated with the non-compliance of the

and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the

unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or

แต่ละงานสอบบัญชีโดยสรุป) (3.2) ระดับสำนักงานสอบบัญชี………………………………………………………………. (โปรดระบุ ISQC elements ที่ถูกตรวจ) (4) สรุปผลการตรวจสอบ………………………………………………………………………….(โปรดระบุความเสี่ยงที่อาจเกิดขึ้นจากกรณี

external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of

Settlement Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken

innovation. Describe the characteristics of each product or service to give investors an understanding of the Company's nature of business during the preceding year including the factors conducive to business

transaction including the detailed procedure in calculating such profit, loss, benefits or returns; (4) potential risks from entering into derivatives transaction including the factors causing risks and the