as securities registrar; (6) diagram of the organizational structure of the work unit which will be responsible for providing services as securities registrar; (7) rates of fees and methods of fee

force as from 1 March 2005. Notified this 17th day of January 2005. (Mr. Somkid Chatusripitak) Finance Minister Chairman of the Securities and Exchange Commision Note: Notification of the Securities and

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.

form and is of opinion that: (1) the claimant has completely and accurately submitted the filing form under Clause 7 and has deposited the full amount of the arbitrator’s fee under Clause 32, the Office

Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel

Clause 3; “ fee ” means a fee for undertaking business according to license; “ income ” means an income before deducting expenditures from undertaking business according to license; “ investment unit ”4