Licensees shall pay the fees within the 31st day of January of the following year. In case of termination of business or revocation of license, the licensees shall pay the unpaid fee or the remaining fee
risk haircuts with respect to undertaking securities business or any other operation of a securities company ; (8) “ collateral ” means total sum of pledged assets for exposure to derivatives according
policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results
office, type of business, company license number, telephone number, facsimile number, home page (if any), amount and type of the total sold shares of the Company; (2) Name, head office, type of business
Certain Types of Securities Business Operator and Derivatives Business Operator. 25,000 baht per year In the case where the remaining period up to the end of the first calendar year of the licensed business
paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business 1.1.2 Brokerage fees from Derivatives business 1.2 Fees and services incomes
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This