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

characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in

, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend

cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business

the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2

such act of other person; (3) there are reasonable grounds to believe that his or her behavior inclines to be or has inclined to be dishonest or defraudation or participates or supports or having

rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the

………………………………….................................. Detail of such incident ………………………………..…..……................. …………………………………….………….………. (attachment) (if any) O No (7) Had the behavior which inclines to be dishonest: O Yes (please specify) For example

caused or may cause the trading price of the listed securities to deviate from normal market conditions; (b) the client’s listed securities trading behavior is inappropriate or may contravene the law on

securities to deviate from normal market conditions; (b) the client’s listed securities trading behavior is inappropriate or may contravene the Law on Securities and Exchange ; (c) the client fails to notify