as from the date on which the SEC Office has received documents and evidence in full. Part 2 Rules and Period of Approval ______________________ Clause 10 Any person to be approved as auditor in the

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

notify and submit a written documents specifying such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The

client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment

securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day

-ร่าง- UNOFFICIAL TRANSLATION Codified up to No. 3 As of 22 December 2016 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Total Liabilities 2,289.71 1,926.84 2,725.47 3,036.62 Authorized Capital 810.00 900.00 900.00 900.00 Paid-Up Capital 600.00 600.00 600.00 600.00 Premium (Discount) on Share Capital 160.00 160.00 160.00

such evidence up-to-date for at least five years from the transaction date and the maintenance of such evidence for the first two years shall be in the from which can be promptly retrieved and inspected

and controlling person up-to-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. 24 The securities company must retain the related documentary evidence