Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

with the key benchmarks: - Discussion and analysis on the financial condition and the operating results during the past two fiscal years is required only when they have a significant impact on the

Financial Institution System; (2) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Mutual Fund to Solve the Problem in Financial

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

SEC Office shall prepare and submit the annual report on its financial condition and business operation to the Minister within one hundred and twenty days from the end of the fiscal year. SECTION 31/2.6

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

and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees