1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units
the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds thereform to invest in, or procure for profit from
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
damage to the company or the shareholders or any ill- gotten gain by myself or any other person; (2) Any behavior in respect of disclosure or dissemination of information or statement concerning the
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the characteristics as specified in the notification of the SEC. “derivatives exchange
(ขาดทุน) จากหนี้สินทางการเงินที่กำหนดให้แสดงด้วยมูลค่ายุติธรรม (Gain (Loss) on financial instrument designated at fair value through profit or loss) (fair value option) หมายถึง รายการดังต่อไปนี้ 1.3.3.1
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and