not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
) ........................... .............................. …........................ ……………............. ( Remark : an applicant who has affixed signature in giving opinions on financial statements for less than 3 years during the past 5 years is not required to provide information in this part.) 12. Types of
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for
of net profit or loss items which occurred; c) total amount of net profit or loss items which not occurred; d) reason why the company sold or transferred for changing such category of debt instrument
business which is not a brownfield project ; (11) “ major investor ” means a person who acquires the units of a fund for the first time at an amount not less than ten million baht. In the case where such
Unofficial Translation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The
not less than the initial margin rate or value prescribed under Clause 3(2). Clause 6 A derivatives broker shall deposit margin for derivatives position of each client with the derivatives clearing