promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval

Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of

shall have the power to specify the particulars which are material to the agreement. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)

the SEC. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)

holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act

of Debt Securities (No. 11) dated 25/10/2006. Amended by Notification of the Securities and Exchange Commission No. KorThor. 42/2545 Re: Rules, Conditions and Procedures for Dealing of Debt Securities

Securities and Exchange Commission Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 18/2560 Re: Rules, Conditions and Procedure for Applying for License and Granting of

. 2535 (1992), as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The securities companies