guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
line or business group in the table below. This shall include at least those contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. If the
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
the financial statements of the latest accounting year. (please use the table attached hereto). 11. In the case where the applicant has affixed signature in giving opinions on the auditing for less than
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
the Office of the Securities and Exchange Commission (“SEC Office”) prepare and submit the Audit Firm Profile and Details of the Audit Firms to which auditors are affiliated with the SEC Office. Table
systems and user identification of internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
Internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical