monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
which social media will be used to disseminate such information.1 1. https://www.sec.gov/news/press-release/2013-2013-51htm Theoretical Perspective • The firm strategy may seem obvious… • Given the nature
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) LTD. - KHLONG TOEI NUEA, WATTHANA, Bangkok 10110 Tel.0-2079-2200 Fax.0-2079-4347 , 0-2079-4380 9 CLSA SECURITIES (THAILAND) LTD. 16/F, M.THAI TOWER, ALL SEASONS PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM
SECURITIES (THAILAND) LTD. 16/F, M.THAI TOWER, ALL SEASONS PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2257-4600 Fax.0-2253-0532 9 DAOL SECURITIES (THAILAND) PUBLIC CO.,LTD. 9, 18, 39 AND
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the