Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the
provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
of the directors, executives or associated persons who are counter parties of the Company. 5.4 Secondary market In the case where the Company has securities listed on a stock exchange of another
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