profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

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

the profit and loss statement of the latest financial year. If the operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

Company audit client and all subsidiaries audited by the firm) will regularly be more than 15% of the firm’s annual fee income (or where Audit Engagement Partner profit share not on a firm basis, on that

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC