Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
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
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
Rerson and Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial
, interest rate, financial index, securities index as goods or variable, or any other assets or variables as specified in the Notification of the Office; “financial institution” means any financial institution