effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or
-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
investors and specify additional assumption if applicable. In this regard, an auditor approved by the SEC shall be appointed to audit and give an opinion or show confidence in such consociated financial
rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk
ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์