company or a public limited company which is established to undertake securities business in the category of securities finance shall be as follows: (1) a financial institution under the Law on Loan

In the case where a derivatives business operator is a securities company having the duty to prepare and disclose the financial statements in accordance with the Securities and Exchange Act B.E. 2535

of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions

Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the

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

Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company

; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

): [  ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [  ] Director

Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the

duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the