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
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the