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

shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as

, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt

for a period of not more than six months from the effective date hereof. Clause 5. This Notification shall come into force as from 1 April 2001. Notified this 19th day of March 2001. - Signature - (Mr

during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries

accounts and saving accounts, and those in fixed deposit accounts and certificates of deposit with due dates of not exceeding three months, but not includes bank deposits with an obligation. cash equivalents

compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a

past 12 months before the expected date of establishing a branch office or before the date of submitting the application for establishing a branch office, as the case may be, or otherwise having

amount exceeding its shareholders’ equity, it may deduct the value of such liabilities from the total liabilities within six months from the effective date of this Notification. Clause 8 This Notification

the event the remaining period up to the end of the calendar year for operation of the licensed business in the first year is shorter than six months, the licensee shall pay such fees at one half of the