uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph

apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for 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 the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

you are in any doubt, you should consult your local intermediary, local representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and

collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local

foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local

) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more