business days prior to the date of submitting the final proceeds to the unitholders which shall include: (a) a statement of revenue and expenditure; (b) a statement of income and expense; (c) a statement of

rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk

and proceeds as specified by the Notification of the Securities and Exchange Commission governing rules, conditions and procedures for appointment of representatives for sale or acceptance of redemption

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

management company shall return the subscription money and other benefits accrued upon the proceeds received from the offering to the subscribers proportionately to subscription money received within fourteen

conditions. "mutual fund management" means the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds therefrom to invest

) proceeds remain from the sale of client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

company; provided that the shares and share warrants of spouse and a minor child of such person shall also be included in the calculation. In the case where the investment advisory company proceeds the

and the credibility of the companies. Since it is possible that those committing predicate offences under anti-money laundering legislations may use securities transactions to launder illegal proceeds