Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

the profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm

the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

also comply with the explanation attached hereto. Clause 4. In the case where the securities company desires to submit a financial statement under Clause 3 to the Office in the form of electronic data

settlement of derivatives contract on maturity; (5) The profit in derivatives position and the balance amount of the margin of customer marked to market; (6) The amount and type of asset exceeding the amount

Signature ........................................................... (..........................................................) Form 61 – 3F

remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the