company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht
, interest rate, financial index, securities index as goods or variable, or any other assets or variables as specified in the Notification of the Office; “financial institution” means any financial institution
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
should be adequate and unambiguous for the investors to understand the investment policy, securities or assets or contract in which the fund intends to invest, all risks relating to the investment, type of
………………………………………………………. 1.2 Location of the office established by the applicant …………..………… telephone number ……………… facsimile number…………………… 1.3 Paid-up capital…………………. Baht 1.4 Total assets………………….Baht. Total liabilities
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other