exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti

…………………...….……….…………….. Reported by: ….…(Name)………………………….……..……….…………..……Position: ……..……………….………..….…….. รายงาน ณ วันที่ / Reporting date: ………………………………….......………………………… ชื่อผู้ถือหลักทรัพย์และสัญญาซื้อขายล่วงหน้า 1 Name of

investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be reported in the shareholders’ equity. 25. Retained earning (deficit

evaluation shall be reported to the Board or the assigned working group periodically as deemed appropriate. The evaluator as such may be insiders or outsiders of companies. 8.4 In order to adjust the BCP to be

updated information to verify the records of such assets reported by a third-party custodian in comparison to the records of clients’ assets which are prepared by the securities company. Clause 15 3 A

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...