profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Company audit client and all subsidiaries audited by the firm) will regularly be more than 15% of the firm’s annual fee income (or where Audit Engagement Partner profit share not on a firm basis, on that

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

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

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

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of

intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter;  (3) investor or client who uses services related to

governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of

: (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