, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system
percent of the total income respectively, and the clarification thereof is made with reference to the relevant notes to the financial statements). Product Line/ Business Group Operated by Shareholding
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
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
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
Directors and Executives dated 23rd April 2010. 2nd Group Characteristics [ ] Yes [ ] No (1) I have been denounced by the authority regulating financial institutions or have been tried in any criminal
Executives of Companies. Clause 30 The following matters shall be deemed prohibited characteristics in Group 2: (1) [i] being accused by the regulator of financial institution , regardless of local or foreign
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means