profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
the profit and loss statement of the latest financial year. If the operating results of each product line have already been disclosed in full in the note to the financial statements in accordance with
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a major shareholder, a controlling person, a parent
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
it makes underwriting. Clause 6 Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a