. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
production environments and allow to access by only authorized personnel for each environment. Such separation may be in the form of using different computers or separating areas in the same computer. 8.2
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid