Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the

from service provider; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3; The Office of the Securities and Exchange Commission shall

that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor and a trustee are the same person

ตรงกัน สำนักงานจึงขอซักซ้อมความเข้าใจในเรื่องต่าง ๆ ดังนี้ (1) การกำหนดเวลาในการรับคำสั่งซื้อขายหน่วยลงทุน (“cut off time”) บริษัทหลักทรัพย์จัดการกองทุน (“บลจ.”) และบริษัทนายหน้าซื้อขาย หน่วยลงทุน

Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law

carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing

advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the

; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a

suspension, acquisition or disposal of significant assets, operating results and profits, liquidity and capital sources, asset quality, management of off-balance sheet transactions, significant changes or