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

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 choose a service or make an

, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other

transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

the securities company under the method specified in Clause 18 (1) (a) or (2) (a) shall not be considered as the appointment of an agent for the custody of client’s assets. Clause 9. A securities

capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included

equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business