for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

shareholders’ equity of the derivatives broker ; (b) financing lease which is under the condition allowing for early termination of lease by the derivatives broker as the lessee without purchasing the asset

any of the following investors: (1) a juristic person having any of the following characteristics: (a) having shareholders’ equity in the amount of two hundred million baht or more, according to the

assets 9. Property, plant and equipment 10. Intangible assets 11. Other assets Total assets Liabilities and shareholders’ equity (Unit:Baht) Consolidated The Company only ( 20..) ( 20..) (20..) (20

who is a foreign juristic person under Clause 4(3) shall possess the qualifications as follows: (1) having shareholders’ equity not less than fifty million dollars or at equivalent; (2) being a

of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as

Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by

governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office

derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into force from 16

for Permission and Granting Permission to Management Companies to Establish a Branch Office, dated 22 May 2007, the Office shall take into account the following matters: (1) shareholders’ equity of the