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

procedures by meeting the following criteria: (1) educate all employees and contractors on IT security policy relevant to their job function; (2) communicate to the employees and contractors that they should

, 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

Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the

) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the

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

cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information shall be revised and

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)

preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to