period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort

for other matter, while having an obligation to resale such financial asset in the future in an amount equivalent to the cash or such other matter given plus interest or other similar matter in return

of accounting policy (paragraph........); ( 3.1.3 inappropriate/insufficient disclosure of information (paragraph........); and having additional paragraph explains the matter of: ( 3.2 Inability to

audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and

matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept