of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
before public disclosure of financial statements (for example, reporting requirements on directors’ and executives’ securities trading and penalty measures on misuse of inside information, etc.) This is to
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One
, beneficial owner and controlling person of securities trading, as well as client financial status and their ability to pay debt client. As for the former clients which the securities company do not possess
/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means
trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining