, clarify the results of the implementation of such plan as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether or not such obligation has been
company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
experience in the field of function to be operated for the intermediary . In this regard, the counting of such experience may continuously extend from the experience in other businesses if the juristic person
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
comply with such rules. In case those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the
of such plan and prediction as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether such obligation has been fulfilled. (Compare the actual
แฟ้มข้อความ AMC03.TXT ผ่านระบบ Provident Fund and Private Fund Reporting System (PARS) 3. ข้อมูลในแฟ้มข้อความ (text file) แต่ละ field กำหนดให้ใช้ “|”(delimiter)เป็นตัวแบ่ง และใน field ใดที่ ไม่มีข้อมูล
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on