with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client to
with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client to
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client
, “capital fund” shall mean the total value of: (1) shareholders’ equity which has been allocated in a securities business account according to the Financial Status Report Form (segregated by type of business
the fund shall be recorded according to the employees’ interest segregated by each employer, provided that the following incomes and expenses of the fund shall be calculated and recorded as incomes or
2 (segregated account) /+2 @&18 2 &) 1 9&)6O 9%29@2+O9@& :+=2 +&' 26 2. a9@2 a &)/:+< %? /:+ , . a9@2 a &)/:+
การรับดูแลและเก็บรักษาตราสารหนี้ ให้บริษัทหลักทรัพย์ดำเนินการดังต่อไปนี้ (1) เปิดบัญชีการให้บริการสำหรับลูกค้าแต่ละราย (segregated account) ที่มาใช้บริการ เพื่อให้สามารถระบุตัวตนของลูกค้า
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...