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
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules
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
disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in 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
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly; (2) there is no reasonable ground to believe that the financial condition may