the nature or timing of the auditor’s work (paragraph........); ( 2.2.3 limitations imposed by management (paragraph........). ( 2.3 Corresponding figures contains or may contain material misstatement

Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the

period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators

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

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

shall report the appointment or the termination of appointment of representatives to the Office as per the forms and procedures as provided via the electronic system of the Office within the seventh

Commission concerning Forms for Financial Statements of Securities Companies , issued by virtue of the Securities and Exchange Act B.E. 2535 (1992) and shall proceed according to the explanations as attached

managed CISs: _________________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered cross-border ___________________________________ Total

limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque