of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
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
name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent
/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
correct, complete and true. (signed)…………………… authorized person (…………………………) For and on behalf of the ..............Company Date……………………….. The list of supporting evidences for Form 104-2/Or Por 24-2: (1
Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management