entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding

; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work

specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel : (a) work related to management, establishment, control and

strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- The

Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and

policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the

for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the