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
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
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
of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose 75 percent or more of its total
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
submit reports or relevant information to the management company for the purpose of tracing and verifying the correctness of the portion received (6) if the payment for the infrastructure asset will be
the profit and loss statement of the latest financial year. If the operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production