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
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
training institute or having completed the courses that are approved by the Office; (4) Being neither a permanent staff member nor an executive who has power of management in other companies, nor being an
of Thailand; (9) “ brownfield project ” means an infrastructure business that has begun generating commercial income from its completed construction; (10) “ greenfield project ” means an infrastructure
the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of