of importance of the objectives. If the raised fund this time is inadequate for the objectives of spending as earlier specified, disclose the sources of fund for further fundraising. 2. In case of

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is 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. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

operating system or other measures: (a) punishing directors, executives or other personnel who have involved in the breaching; (b) reimbursing damages or compensating deficient interests to the client (if any

deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

regulatory sandbox is deficient and cannot be improved; 5. there is a reason to believe that the innovation used in the service provision may cause a material impact or damage to investors or the overall

provisions in Clause 4 and Clause 5 or Clause 6, as the case may be; (4) the operation under a regulatory sandbox is deficient and cannot be improved; (5) there is a reason to believe that the innovation used

, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared