of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives
subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to
latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue
or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who
company for which the applicant has affixed signature in giving opinions on financial statements of the latest year No. Name of Com-pany For the period ended on Type of business No. of sub-sidiaries
status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business
, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
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
repurchase agreement Temporary investments Receivables from Clearing House Securities business receivables and Derivatives business receivables Other derivatives assets Other assets Operating Liabilities