whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
securities business, fill in part 1 and part 3; • in case of application for approval to be an executive of a licensed derivatives business, fill in part 2 and part 3; • in case of application for approval to
that the intermediaries have already complied with the Notification No. TorThor. 35/2556 , in part of operation systems for supporting business continuity, and the Notification No. SorThor/Nor. 45/2559
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving of advice is solely a part of or an incidental to the conduct of business as a
part which is subject to the parent company whether directly or indirectly. Profit and loss statement or income statement 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business means
the Government Gazette, Volume 109, Part 22, dated 16 March B.E. 2535 This English translation of Securities and Exchange Act B.E. 2535 (1992) was originally prepared by the SEC Office and Chandler and
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law