. 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
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
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
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
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
) short sale of securities which are equity instruments listed on the Stock Exchange or registered with at the securities trading center in compliance with the rules prescribed by Notification of the Stock
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
ทะเบียนที่มีการซื้อขายใน TFEX (stock futures) หุ้นกู้ที่มีอนุพันธ์แฝง (structured debenture) คู่สมรส หรือผู้ที่อยู่กินด้วยกันฉันสามีภริยา/ Spouse / cohabiting couple ชื่อ / Name หุ้นสามัญ (common share
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
) 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