come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing

SEC Office under this Notification shall be allowed to perform an audit work and affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for

administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational

shall be a statement indicating that such person [i] agrees to perform the duties as the trustee of the REIT after having studied the evidentiary documentation submitted to the SEC Office by the applicant

Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 o...

Microsoft Word - ลำดับที่ 34_39_สธน26-49.DOC (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company _____...

financial management particularly implementing the cost cutting measures including lowering salary of executives, professional fees and other administration expenses as well as negotiating with counterparties

institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be suspended, revoked or prohibited to perform the duties of personnel in securities business or derivatives