specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports

. Page 3, Page 5, Page 6, Page 17, Page 27, Page 29, Page 30, Page 33, Page 42, Page 45, Page 49, and Page 53 of the explanation to the calculation of Net Liquid Capital according to the Form BorLor. 4/1

baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics

million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights

. 10) dated 29 November 2005. Clause 2. In this notification hereto: (1) “report of net liquid capital calculation” means report of net liquid capital calculation in the form and explanation for

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options

also comply with the explanation attached hereto. Clause 4. In the case where the securities company desires to submit a financial statement under Clause 3 to the Office in the form of electronic data

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

purpose, criteria and explanation relating to the information on mutual fund rating, as well as the precaution of risk in using the information on mutual fund rating; in this regard, the precaution shall be