Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
of close associates. As a result, NUSA was required to amend its financial statements to ensure disclosure of accurate information. However, it has been found that the annual financial statements for
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
Duty as Professional ________________ Clause 1345 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client
Exchange Clause 2 A derivatives trading system on derivatives exchanges is a fundamental system which has connection to the clearing and settlement system of derivatives clearing houses and other relevant
rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to
intends to participate in a regulatory sandbox, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the