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
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
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
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
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
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform