considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the

shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the

the Securities and Exchange Commission No. KorThor 59/2543 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending (No. 3) dated 23 November 2000. As added by the Notification of the

, Special section, Vol. 121Ngor, dated 29 October 2004. As added by the Notification of the Securities and Exchange Commission No. KorThor. 47/2547 Re: Registration of Derivatives Business Operator in the

with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

Exchange Commission. Clause 2. The following provision shall be added as the second paragraph of Clause 44 of the Notification of the Office of the Securities and Exchange Commission, No. SorNor. 28/2549 Re

systems for data center such as CCTV, fire alarm systems, fire extinguisher or automatic fire suppressing system, uninterrupted power supply, temperature and humidity control systems as well as maintain

Issue, Volume 121, Special Section 26Ngor. This is added by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (No.2) dated 09/03/2004. This is added

February 2005. As added by the Notification of the Securities and Exchange Commission No. Kor Khor.19/2547 Re: Rules, Conditions and Procedures of Securities Brokerage and Securities Dealing which are not