transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the

operational results, as well as other information relating to the condition of such funds at each particular period, such as, details of investment, financial position, expenses and opinions of the fund

fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund

Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546

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

. 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

including the following liabilities: (a) subordinated liabilities which is unsecured and is not under the condition permitting the creditor to call for prepayment before the maturity date, only in the portion

) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments

information shall cover at least the following matters: 1.1 Vision, objectives, goals and strategies Provide as much information as deemed appropriate on the vision, objectives, goals and business strategies of

is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a