profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
. Clause 5. The registration as a qualified fund supervisor shall be valid for a period of three years as from the date specified in the letter of notification of such registration. In cases where a person
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the
the profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
สำหรับ กรณีที่เอกสารการขึ้นทะเบียนของ regulator ต่างประเทศไม่แสดงสถานะ valid ในวันที่ยื่นคำขอ ความเห็นชอบ เนื่องจากการลาออกจากต้นสังกัดในต่างประเทศ ให้ผู้ประกอบธุรกิจที่เป็นต้นสังกัด หรือตัวบุคลากรเองมี
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and