securities company under the first paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio

. “liquid assets” means the following assets without binding obligation: (a) cash and bank deposit; (b) a certificate of cash deposit or promissory note issued by a commercial bank, bank established under

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

broker intends to share the branch manager with other full-service branch offices such derivatives broker shall submit the application together with document evidence showing the details of plans for

Clause 16 shall come into force from 1 January 2002. (see note attached hereto) Clause 2. The followings shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No

whereby the management company should arrange for a written document prescribing procedures and periods for examination of the exercise of the right to vote to comply with the voting guideline prescribed by

shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

business operator may do so only with prior approval from the Office. In seeking such approval, the business operator shall present document and evidence related to operating plan, operating system in

mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such information, the management company shall