Exchange Commission Remark : The reason for issuing this Notification is that the securities company has flexibility in operating its business, able to increase its income and expand its customer, and to
has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
such rules; (2) the management company is able to show that the establishment of such fund is in the best interest of the unitholders, and that the policy to generate income is fair and does not take
able to complete the engagement within the reporting deadline. 4 Does the firm inform personnel of its acceptance and continuance of client policies and procedures? If yes, mode of communication. If no
business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii] the intermediary ’s personnel would be able to complete their
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group