the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial

structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be

accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the

maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company , as lessee, would be able to terminate the contract before the

within one year, unless such condition has been waived by the SEC Office; 2. the financial lease contract which a derivatives broker , as lessee, is entitled to prematurely terminate without the condition

Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a

instruments, but not including any company licensed to undertake securities business in the category of brokerage, dealing or underwriting of investment units and any financial institution which is under the

handling officer according to the said notification within fifteen days from the date on which the claimant files the complaint; 2. the claimant’s complaint is not resolved within forty five days from the

Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546

financial position as specified under Clause 4 (1), the custodian shall notify to the Office and client within the day following the date of acknowledgement that the financial position cannot be maintained