borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines
, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange
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
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
Consolidated assets (THB) Consolidated income (THB) Consolidated net profit (loss) (THB) Separate assets (THB) Separate income (THB) Separate net profit (loss) (THB) Audit fee (THB) Other fees Auditor’s opinions
which the management company is authorised to manage 4. Prospectus There should be a rule of practice for examining the accuracy and completeness of the prospectus 5. Change and amendment to the mutual
separate row. 1.2.2 Product information Give a separate description of each product line or business group in the following matters. (1) Characteristics of products or services and development of business
shall comply with the rule related to the determination of the fair value of an investment specified by the association, mutatis mutandis; (b) in case the rule under (a) does not govern the determination
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a license or registration including the rule used in supervising