) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the

, unless permission has been granted by the Office to open or close its office at any other hours or days.

financial advisors or intermediaries for securities offering, additionally disclose the terms and conditions of such debts as well. - in other cases, disclose at least the amount of money and the spending

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

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription