the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the

the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and

. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant

nature of the core business, the Company may need to form a relationship, reliance4 or competition against other businesses of the major shareholder materially, the Company should explain the structure or