responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets. 3 Clause 6 A securities company shall establish rules or practice guidelines for custody of
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information. Clause 6 A securities company shall separate the work
2017 ended September 30, 2017. Such financial statements comprise of the consolidated financial statements and the separate financial statements as compared with the financial statements for the first
operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties, responsibilities, or nature of operation may create conflict of interest, at
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties, responsibilities, or nature
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties , responsibilities, or
: Million Baht) Consolidated Separate Y2017 + Increased /-Decreased Y2017 + Increased /-Decreased Brokerage fees income 592.30 (28.82) 592.30 (28.82) Fees and service income 38.75 (16.45) 38.75 (16.45
- - - Total bank overdrafts and short-term loans from financial institutions 53,561,285.30 - 13,418,154.75 - Unit: Baht Separate financial statementsConsolidated financial statements 4.2.2 Long-term loans from