established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
past three years and the latest quarter or such shorter period that the company has been in operation: Specify the information in the consolidated financial statements, with only key figures and
operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports to the SEC Office. Clause 3 A business operator shall prepare and file reports of financial
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9