Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports to the SEC Office. Clause 3 A business operator shall prepare and file reports of financial
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
the Securities and Exchange Commission. Clause 3 . The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is