are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
แบบแจ้งชื่อผู้บริหารของบริษัท “For effective filing, fill out Form 35-E1 via the SEC electronic filing system only , print out the completed form, affix the authorized signature and submit the
) _________________________________________________ Please print this checklist and include it as part of the package of this form Asia Region Funds Passport (ARFP) CIS Application Form To: Secretary-General Securities and Exchange Commission
100,000 (VAT exclusive) payable in the form of receipt of money transfer [ ] 8. Other supporting documents (please specify) _________________________________________________ Please print this checklist and
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
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each