The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person concerning the management of fund; (2) Management

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the

value or having the income derived from the operation of the assets under (a) (b) (c) or (d) not less than seventy five percent of the company’s total income in each fiscal year; and 2. having its shares

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue

Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of

securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of

cost by 10 percent within this year, etc. 1.2 Material changes and developments Give a brief account on the material changes and developments regarding changes in control and the nature of business