) ……......... 10. Number of companies for which the applicant has affixed signature in giving opinion on their financial statements over the past 5 years: Year of signature affixed Number of companies Affiliated

) the Financial Institutions Development Fund; (j) the Government Pension Fund; (k) a provident fund; (l) a mutual fund; (m) a juristic person whose audited financial statements of the latest year record

the profit and loss statement of the latest financial year. If the operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with

Company Limited Statements of changes in shareholder’s equity For the period of… ……………until…………………...20.. and ......20... Consolidated financial statement (Unit:Baht) Ordinary share Stock rights and

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

private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe

Clause 5(6) shall pay a separate fee as derivatives selling agent at an amount not less than 25,000 baht per year and not more than 1 million baht per year. In the case where a licensee has suspended the

least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to