appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information

any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or

the SEC Office in advance within 15 days prior to such outsourcing. Clause 15 An intermediary shall have a policy, measure and guideline for outsourcing operational function to a service provider in

shall have the power to specify the particulars which are material to the agreement. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

Management of Property and Loan Funds ; “ inside information ” means any fact that is material to the change of the prices of securities or derivatives and has not been disclosed to the public, and any