benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another
exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary
period remaining from appropriated. In case of net balance account is retained loss. It shall demonstrate the amount of cash in the parenthesis and called “deficit”. 27. Treasury stock means ordinary share
paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the
Certain Types of Securities Business Operator and Derivatives Business Operator. 25,000 baht per year In the case where the remaining period up to the end of the first calendar year of the licensed business
the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full