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
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
. 4.2 Give a forward looking description of potential factors or incidents that may materially affect the financial condition or the operating results. This includes both external factors such as economic
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9
แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ PAGE Conclusion of auditor’s opinion from audit or review of financial statements Name of issuer/offeror For the year ended For the