profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

line or business group in the table below. This shall include at least those contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. If the

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

เครื่องหมายลงในช่องที่ตรงกับประเภทการจ่ายผลตอบแทนของประเภทบัญชี รวมทั้งระบุรอบเวลาในการจ่ายโบนัส / profit sharing เช่น จ่ายโบนัสทุกรอบปี หรือ profit sharing ทุกเดือน เป็นต้น) ประเภทบัญชี ประเภทการจ่ายผลตอบแทน

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 profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm

1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means.          (As amended by Section 3 of the Securities and