uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph

apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets

for safeguarding their user IDs, passwords, and any personal information that may be potentially used to request a change of the user IDs and passwords. 5.4. System and Application Access Control