regard, in case the intermediary has raised its capital after the date of the latest financial statement, the amount of raised capital could be summed up to shareholders’ equity. 1 The regulations
statement, audited by auditor, in positive position. In this regard, in case the intermediary has raised its capital after the date of the latest financial statement, the amount of raised capital could be
and Exchange Commission concerning Maintaining Financial Status of the Derivatives Broker; and (2) The Notification of Securities and Exchange Commission concerning Maintaining Net Capital. 5 the amount
not suffering from the same impacts and it should be able to support a large amount of critical business functions or a long-lasting emergengy incidents. In addition, the alternative site should be
main office sufficient for not suffering from the same impacts and it should be able to support a large amount of critical business functions or a long-lasting emergengy incidents. In addition, the
details and the amount of mutual funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from
mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the details and the amount of mutual
ประเภทที่มีการลงทุนในอนุพันธ์โดยมีมูลค่าที่ใช้อ้างอิง (notional amount) ตั้งแต่สิบล้านบาทขึ้นไปตามประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ กธ. 30/2543 เรื่อง การทำธุรกรรมและการให้บริการด้าน