profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

ตราสารหนี้ระยะสั้น (Short-Term Fixed-Income Fund) คือ กองทุนรวมที่มีนดยบายการลงทุนในเงินฝากหรือตราสารหนี้ที่มีอายุเฉลี่ยในการถือครอง (Portfolio Duration) ในขณะใดขณะหนึ่งไม่เกิน 1 ปี กองทุนรวมประเภทนี้เหมาะ

of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in

equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the

assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their

expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the

apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in