shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity
) being a loan for trading or exchanging of securities with a securities company or a foreign financial institution which is permitted to provide services of such transactions under the law of the country
3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the
form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
holidays. Clause 8. In the case where the securities company has been permitted to open on different hours and days from that indicated in Clause 3(1) prior to the effective date of this Notification, such
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
liberties of persons permitted by virtue of law under the Constitution of the Kingdom of Thailand in Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64