Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act
, 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 Securities and Exchange Commission
appropriate; (2) establish a measure for protection of confidential or sensitive data in case of loss of mobile devices, for example, entering passwords prior to using a mobile device (lock screen) or remote
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. ------------------------------- The Securities
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. Securities and Exchange
reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. PAGE (Translation) 2 _____________
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
original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or