. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit

exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this regard, such attendance shall continue from the previous

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment

. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation

liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.

issuing company under business reorganization plan that approved by the court under law on bankruptcy or debt restructuring agreement; 4. shareholders of issuing company in accordance with previous

securities of the customer and wishes to borrow the securities from the customer or to lend the securities to other persons, the business operator must have a prior written consent of its customers. If the

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the