Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

. 4.2 Give a forward looking description of potential factors or incidents that may materially affect the financial condition or the operating results. This includes both external factors such as economic

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

or incidents that may materially affect the financial condition or the operating results – both external factors such as economic trends, market/industry environments, and internal factors such as

suitable for his/ her investment purpose and financial status or not. With respect to trading options, the Client should also understand other relevant terms and conditions, including type of options, e.g

the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

it serves? If yes, Please describe the policies and procedures. How does the firm ensure that all audit staffs are aware of and understand the firm’s audit manual and perform audit work in accordance

reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9