, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any

derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

statement of a customer: (1) name or the derivatives account number of the customer; (2) transaction date; (3) contract specifications including contract type, type of underlying asset or variable, settlement

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act