Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing

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

fee and other expenses related to property, plant and equipment. 2.5.3 Tax and duties means variety of taxation, namely specific business tax, signboard tax, stamp duties, excluding corporate income tax

investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life

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

concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will

Clause 3; “ fee ” means a fee for undertaking business according to license; “ income ” means an income before deducting expenditures from undertaking business according to license; “ investment unit ”4

engagement competently If yes, how this decision is reached and whether it is documented. Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant

procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner

of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in