. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35

an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

other income have an amount from five percent of total income, it shall demonstrate such other income as a special item and demonstrate subsequent to the item No 1.6. 2. Expenses 2.1 Expenses on borrowing

. 2535 (1992) , as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) , and Section 97 of the Securities and Exchange Act B.E. 2535 (1992) and Section 9 and Section 49 of the Derivatives

the Kingdom of Thailand , as the case may be, the report would be able to provide in English language. (2) 45 days as from the closing date of the offering period in case of: (a) an initial public

for an approval and the granting of an approval shall be in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of

shall apply. Section 17. 3 The fund manager shall prepare an account segregating all fund assets by recording incomes and expenses according to the types of funds, as follows: (1) in case of pooled fund