หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
Licensees shall pay the fees within the 31st day of January of the following year. In case of termination of business or revocation of license, the licensees shall pay the unpaid fee or the remaining fee
termination of business or revocation of license, a licensee shall pay the unpaid fee or the remaining fee within thirty days from the date when the Minister approves the termination of business or revocation
settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client , in which case the
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period