profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
Fund and the SFC agreed to expedite the authorization process of a Hong Kong Feeder Fund investing in a Thai Master Fund. The feeder fund which seeks to be offered for sale to the public in the
opinion on the exercise of voting rights to the provident fund committee, or ask for the authorization from the provident fund committee to vote on behalf of the provident fund. Notified this 11th day of
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
the SEC Office, and other income derived from the operation of the SEC and the SEC Office shall be the property of the SEC Office. After deducting the expenses and reserves under Section 26, the
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or