. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

applicable) ผู้ซื้อ/ ผู้รับโอน โปรดระบุชื่อ/ความสัมพันธ์ 5 Purchaser/ Transferee (Specify name and relationship) จำนวน (Amount) ราคาเฉลี่ย (Average price) ผู้จัดทำ / Reporter หุ้นสามัญ (common share) หุ้น

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3

units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case

companies who will be allotted the units proportionally to their shareholdings: 1. the listed company that will be selling, transferring, leasing or granting the rights in the infrastructure asset to the fund

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring

capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a