Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
Director [ ] Independent Director and Member of Audit Committee Executive [ ] Executive (please specify title in the company) Date of Appointment : Part 1 : General Information 1.1 First name / Last name (in
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
company shall prepare such information of each investment policy.” Clause 3. The following provision shall be added as Clause 51/1 of the Notification of the Office of the Securities and Exchange Commission
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
: This annual registration statement (Form 56-1) contains minimum information required to be disclosed by the issuing company (“Company”). Preparation and filing thereof should take into consideration the
waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide and deliver information of investment or holding of the assets as asset of the management company to the