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
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
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
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
. SECTION 22. The derivatives business operator shall not engage in any other business unless approved by the SEC Office. Upon receipt of the application for approval under the first paragraph, the SEC Office
) ........................... .............................. …........................ ……………............. ( 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
use for business undertaking with or without ownership. (For example, land, building, factory and machinery. The presentation of the total amount of such assets may be asset category-based, not item-or
. "securities dealing" means a purchase, sale of exchange, outside the Securities Exchange or an over-the-counter centre, of securities, for one's own account in the normal course of business. "investment
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
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