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

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

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

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

September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

ดูแลระบบปฏิบัติการคอมพิวเตอร์ ตามความเหมาะสม ( กำหนดบุคคลผู้รับผิดชอบในการกำหนด แก้ไข หรือเปลี่ยนแปลงค่า parameter ต่าง ๆ ของ system software ในเครื่องแม่ข่าย และอุปกรณ์ระบบเครือข่าย อย่างชัดเจน ( มีการ

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

following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in

person having the following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete

accurate and complete; 2. I fully understand the provisions in the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market and am prepared