quality control reviews where fee income would be more than 15% for Listed Company for the first two years B.VII Threatened or Actual Litigation : 1 Is there any litigation in progress or likely (for audit

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

exercise precaution and refrain from using the organization’s information systems which may likely damage the intermediary or the capital market or have an impact on the national security, and that they are

information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third

qualifications: (1) Having paid up registered capital not less than one hundred million baht; (2) Not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage

reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

and clarify the risks of losing returns or rights or investment money, in whole or in part. The aforesaid risk factors include only those likely to affect the Company, the group of companies or the

whole or in part; The aforesaid risk factors include only those likely to affect the Company, the group of companies or the securities holders directly, not general risks on business undertaking or

policy relevant to their job function; (2) communicate to the employees and contractors that they should exercise precaution and refrain from using the organization’s information systems that may likely