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

Securities Companies _____________________ By Virtue of Section 106 of the Securities and Exchange Act B.E. 2535 (1992) which contains certain provision relating to restriction of rights and liberties of

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________

Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the

service of brokerage, dealing or underwriting of investment units such as a fund fact sheet. “Management company” means any mutual fund management company or private fund management company; “Mutual fund

, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities

a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of