and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

company shall prepare financial statements as prescribed in the forms and explanations as attached hereto. Clause 4/1 In the case of a securities company in Clause 4 which obtains a securities business

reasons and the necessity to maintain or appoint such person as an independent director as well as the opinion of the board of directors that such person’s holding of the independent director position does

Commission concerning Forms for Financial Statements of Securities Companies , issued by virtue of the Securities and Exchange Act B.E. 2535 (1992) and shall proceed according to the explanations as attached

data” and provide the reasons thereof. In the case where the Company and subsidiaries are being inspected by an authorized agency regarding whether or not the operation of the Company and subsidiaries

securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for

apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal

arrange for the customer to borrow securities only from or through the central securities depository, provided that the reasons of necessity prescribed by a Notification of the Office has been given. Clause

extending the liquidation period indicating the reasons for such request. The Office may grant a waiver on the liquidation period and may order the liquidator to undertake any specific actions to accelerate

any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the