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
systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
ตราไว้ของหุ้นทุนแต่ละประเภทข้างต้นแยกจากกัน 23. ส่วนเกินทุนจากการตีราคาทรัพย์สิน (Appraisal surplus) หมายถึง ส่วนเกินจากราคาทุนหรือราคาตามบัญชีของทรัพย์สิน 24. ส่วนเกินทุน (ต่ำกว่าทุน) จากการเปลี่ยนแปลง
ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products denominated in
foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of
หรือขาดทุนในภายหลัง (Items that will not be reclassified subsequently to profit or loss) ประกอบด้วย 6.1.1 การเปลี่ยนแปลงในส่วนเกินทุนจากการตีราคาสินทรัพย์ (Changes in revaluation surplus) หมายถึง การ
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money