company under Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the

Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

company shall prepare financial statements as prescribed in the forms and explanations as attached hereto. Clause 4/1 In the case of a securities company in Clause 4 which obtains a securities business

public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to

management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established

the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance

licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company

operating standard specified by the association under Paragraph 2. Clause 5 A mutual fund management company shall prepare the financial statements of each mutual fund in compliance with the Accounting

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the