service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of
asset รวมถึงให้บริษัทเปิดเผยแนวทางการพิจารณาของคณะกรรมการบริษัทในเรื่องการประกอบธุรกิจโดยทั่วไปของบริษัท (ordinary business) ซึ่งได้รับยกเว้นการคำนวณขนาดรายการตามเกณฑ์รายการได้มาและจำหน่ายไปซึ่งสินทรัพย์
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC