major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
company shall prepare financial statements as prescribed in the forms and explanations as attached hereto. Clause 4/1 In the case of a securities company in Clause 4 which obtains a securities business
undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
shall be: (1) a securities company which obtains a securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1
consideration by more experienced engagement team member. If yes, please describe the policies and procedures If no, how the firm obtains assurance that work done is appropriate? 6 Do the firm’s policies and
; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial
established by the Stock Exchange of Thailand and holds shares not less than seventy five percent of total sold shares of such company, whereby such company obtains an approval from the SEC to undertake back