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

part which is subject to the parent company whether directly or indirectly. Profit and loss statement or income statement 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business means

translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553   Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers            By

public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to

). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other

latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue

the end of each business day in order to realize the profit or loss from derivatives position everyday. If mark to market went against investor position, the initial margin will decreases by that amount

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

company for which the applicant has affixed signature in giving opinions on financial statements of the latest year No. Name of Com-pany For the period ended on Type of business No. of sub-sidiaries