Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and
------------------------------ The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. SorThor. 24/2550 Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) _____________ By
securities company under the first paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio
investors ” “ high net worth investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholde r ” and “ controlling person ” shall have the same meaning as
according to the following criteria: (1) the mutual fund management fee shall be paid according to the following criteria: (a) the fee rate shall be 0.001 percent of the net asset value under management
Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby
submit any necessary document or report in the interest of the consideration of the derivatives broker ’s ability to maintain its net capital during such period as it deems appropriate. Clause 3 A
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce
: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5
at the rate of 1 percent of the net capital gain from dealing of debt securities. Clause 9 A securities underwriting licensee shall pay the fee at the rate of 1 percent of the fee income from