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

able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice

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

is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the

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