In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6
shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or
________________________________________________________________________ If “No”, please specify the expected commencement of the offer of NRI CIS ________________________________________________________________________ 9) Please provide the investment objective/policy
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as