deliver yet xxx xxx 4. total binding securities xxx xxx (3) Investments in debt instrument under the remain period of contract It shall disclose current period detail and comparative period, as follow 20

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

August 2004 ; Clause 2 In this Notification: (1) “ net capital ” means liquid capital deducted by risk haircuts ; (2) “ liquid capital ” means liquid assets deducted by total liabilities ; (3) “ liquid

broker as follows; (a) A securities company that holds not less than seventy-five percent of total sold shares of such derivatives broker; (b) A securities company having a commercial bank holds not less

capital ” means liquid capital deducted by risk haircuts ; (3) “ liquid capital ” means liquid assets deducted by total liabilities ; (4) “ liquid assets ” means the total sum of the following assets: (a

directly or indirectly holds shares of the other party in the amount exceeding fifty percent of total issued and paid-up shares; or (2) In the case where the party that manages funds has the power to control

; “Affiliated companies” means the followings companies: (1) Any company who holds shares of management company or employer, as the case may be, from ten percents of total shares sold of management company or

seventy-five percent of the total sold shares of certain company, whereby such company obtains a permission from the SEC to undertake business in the category of back office service as specified in Section

liabilities or financing lease contract which is not be counted for calculating total liabilities, or have loans, debentures, or any obligations which is counted for calculating qualified liabilities, a

. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing