securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
to undertake securities business in the category of investment advisory service or venture capital management shall have paid-up registered capital of not less than one million baht. In the case where
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
the category of investment advisory service; (3) a securities company which obtains a securities business license in the category of venture capital management. Clause 5 In the case where a securities
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person