. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

) In addition, for the year ending the same date, the Audit Firm earns income from ….. other clients other than the listed above and receives the non-audit services fee representing ...... percent of the

ตราสารหนี้ระยะสั้น (Short-Term Fixed-Income Fund) คือ กองทุนรวมที่มีนดยบายการลงทุนในเงินฝากหรือตราสารหนี้ที่มีอายุเฉลี่ยในการถือครอง (Portfolio Duration) ในขณะใดขณะหนึ่งไม่เกิน 1 ปี กองทุนรวมประเภทนี้เหมาะ

: ______________________________________ 5) Type of ARFP Passport Fund: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund

the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the

designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet

expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the

shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group

this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and