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

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

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

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

signature in the opinion on the financial statement of a securities company, shall be a certified public accountant who is approved by the Office of the Securities and Exchange Commission to be eligible 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

issued by a commercial bank, a commercial bank established under specific law, or a finance company; (c) Treasury bill, government bond, Bank of Thailand bond and the Financial Institutions Development

, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary

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

maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company , as lessee, would be able to terminate the contract before the