for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
obtaining an approval from Board of director of the company. In this regard, management company shall report such matter to the Office within five working days from the date of sale of such assets or the
........); and having additional paragraph explains the matter of: ( 4.3 Information demonstrated which are not conformed with material fact due to: ( 4.3.1 selection of an inappropriate accounting policy
material misstated, but the effects or possible effects of the matter on the current period’s figures are not material (paragraph number........) ( 2.3.2 unable to obtain sufficient appropriate evidence
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating
shareholders make an agreement on a matter that materially affect the issuance and offer for sale of securities or the management of the Company, and such agreement is co-signed by the Company, identify such
resolution on any material matter, any party may file, through the Office, a motion requesting the arbitrator to additionally make a resolution on such matter within thirty days from the date on which such
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
affiliated company to specify material information in the contract in accordance with Clause 16 and to add clauses with the following material information therein: (a) the intermediary is the third-party