The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ PAGE Conclusion of auditor’s opinion from audit or review of financial statements Name of issuer/offeror For the year ended For the

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

securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC

information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of

. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ (UNOFFICIAL TRANSLATION) PAGE 2 Summary of Types of Auditor’s Report on Audited or Reviewed Financial Statements Company’s financial

) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing

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