: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk

shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset

and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities

information or omitted to state any material information which should have been disclosed became known or should have been known, but not later than two years from the effective date of the Registration

of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2

) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment