presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity

Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit

Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of

days as from the date of receiving the application from the SEC Office. The agricultural derivatives business license shall be in accordance with the forms attached herein. Clause 8 The application fee

receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 5 An approved person shall take the following actions

from the date of receiving the application together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 4 An approved person shall take the