including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

Exchange Commission No. Sor Thor. 29/2540 Re. Forms for Balance Sheet and Income Statement of Securities Companies Which Obtain a Securities Business License to Undertake the Securities Business in the

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

securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities

selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I

Securities and Exchange Act B.E. 2535 (1992) provides that a securities company shall prepare a balance sheet for each accounting period and such balance sheet shall be audited and given an opinion by an

the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping