each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified

promotion which provides investors who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or

issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and the two-year