..) Liabilities 12. Borrowings 13. Securities sold under repurchase agreements 14. Payable to Clearing House 15. Securities business payable and derivatives business payables 16. Debentures and debt instruments 17
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
demonstrating a comparison between the laws and regulations of Home and Host regulators relating to management of NRI CIS ( issued by CIS Operator ) 9. A fee of THB100,000 (VAT exclusive) payable in the form of
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
Clause 5(6) shall pay a separate fee as derivatives selling agent at an amount not less than 25,000 baht per year and not more than 1 million baht per year. In the case where a licensee has suspended the
Keeping of Clients’ Assets Clause 12 A securities company shall prepare records of each client’s assets under its custody in a separate account from any other asset account of the securities company and
provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The
เท่ากับเงินสดหรือสิ่งตอบแทนอื่นที่ได้แลกเปลี่ยนไว้บวกดอกเบี้ยหรือผลตอบแทนอื่นที่คล้ายคลึงกัน 14. เจ้าหนี้สำนักหักบัญชี (Payable to Clearing House) หมายถึง ยอดดุลสุทธิเจ้าหนี้ศูนย์รับฝากหลักทรัพย์ (TSD) ที่