, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
. (Specify nominees’ report separately from the direct holding of the aforesaid persons). 2. ในกรณีที่มีการได้มาและจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าในวันเดียวกัน ให้แสดงยอดรวมของจำนวนหลักทรัพย์และสัญญา
and a deficit, it shall demonstrate such items separately without setting off. /2 In case of the company have various categories of additional paid-in other capital (deficit), namely appraisal surplus
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor
contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard
compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc
efforts of the Company and the subsidiaries should be disclosed separately from corporate social responsibility, and should include the following matters: Policy : Disclose the resolution of the board of