management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
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
percent of the total income respectively, and the clarification thereof is made with reference to the relevant notes to the financial statements). Product Line/ Business Group Operated by Shareholding
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
photocopies of identity cards / photocopies of passports of the persons applied for approval; O photocopies of house register appearing the names of persons applied for approval; O photocopies of educational
submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the