entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
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
public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
”). 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
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
latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue
the end of each business day in order to realize the profit or loss from derivatives position everyday. If mark to market went against investor position, the initial margin will decreases by that amount