SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the

receive payment from the seller under the conditions specified in the contract. The buyer is required to pay a premium to the seller in exchange for such right to buy or sell. Options which grants the buyer

fee, loan interest, gain and loss from securities trading and interests and dividend from investment etc.. Furthermore the company have to stop recognizing income client, it shall disclose rule of

liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------------- Notification of