by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an applicant who
Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
interest of the shareholder or the value of share (Shareholders’ value) (b) Acquisition and disposition of material assets, purchase, sale, or lease of business, business merger and acquisition, hired for
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
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 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the