profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the
of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or