operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management
statements may be required instead of quarterly financial statements, and the qualifications for CFOs may not be determined. Auditors outside a list of certified auditors by SEC may also be considered
those of other business operations, e.g. property/hotel management service, project management service, etc. As of 1Q18, the Company was engaged in two distinct project management services – Crossroads
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under
selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities
การปฏิบัติให้เป็นไปตามกฎหมายและกฎเกณฑ์ที่เกี่ยวข้อง มีการดำเนินกิจกรรมที่สอดคล้องกับเจตจำนงในเชิงกลยุทธ์ และสามารถสื่อสารให้ผู้มีส่วนได้เสียขององค์กรได้รับทราบ ระดับที่ 2 Engaged หมายถึงการแสดงให้เห็น
who are members of the Exchange or foreign exchange, as the case may be. (2) the license fee for securities brokerage outside the Exchange or foreign exchange shall be at the rate of 0.001 percent of