broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the derivatives broker or its employees or any person who works for the derivatives broker

registration statement shall be certified by the director(s) with binding authority( by affixing signature and the Company’s stamp (if any) wherein, and authorizing a person to sign on the documents of the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage

auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions

nor shall they certify the accuracy and completeness of the information contained in the Registration Statement. The liability for certification of the accuracy and completeness of the information

intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6