profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

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

the profit and loss statement of the latest financial year. If the operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with

. The disclosure shall include at least the proportion contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. Such income information shall be

line or business group in the table below. This shall include at least those contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. If the

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

เครื่องหมายลงในช่องที่ตรงกับประเภทการจ่ายผลตอบแทนของประเภทบัญชี รวมทั้งระบุรอบเวลาในการจ่ายโบนัส / profit sharing เช่น จ่ายโบนัสทุกรอบปี หรือ profit sharing ทุกเดือน เป็นต้น) ประเภทบัญชี ประเภทการจ่ายผลตอบแทน

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