obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
Statement.” - Include the following statement in the case of an offer for sale with green shoe option “The issuer or the existing shareholders (as the case may be) shall grant the purchasing right to the
. monitoring · Monitoring the importance operation system effectiveness to consistently and efficiently functions such as transmission system for securities trading, connection between company and Securities
opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy
market products based on an automated program that runs product selection and trading placement without interference throughout the transaction process. “ intermediary ” means: (1) securities business
knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief
selection of accounting policy, observations or qualified opinion of the auditor on significant accounting items (if any), and the results of the implementation of the business plan and objectives in relation
สิทธิคล้ายทุนมาเสนอให้ผู้ลงทุนเฉพาะเมื่อประเมินความเสี่ยงและผลตอบแทนแล้วเห็นว่า เหมาะสม และเป็นธรรม (product screening and selection) 2. จัดให้มีการเปิดเผยข้อมูลแก่ผู้ลงทุนอย่างเพียงพอ โดยอาจมีเครื่องมือ
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a