Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ UNOFFICIAL TRANSLATION Codified up to No. 4 As of 14 December 2016 Readers should be aware that only the original Thai text has legal force, and that

SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.5 as of June 5, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation

the event the remaining period up to the end of the calendar year for operation of the licensed business in the first year is shorter than six months, the licensee shall pay such fees at one half of the

. When the initial margin becomes lower than the maintenance margin, the derivatives broker will require the investor to fill the initial margin up to the original amount within the specific period of time

Certain Types of Securities Business Operator and Derivatives Business Operator. 25,000 baht per year In the case where the remaining period up to the end of the first calendar year of the licensed business

. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities

Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any

(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference