derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a
the first paragraph shall be based upon the factors specified in Clause 14. In case of intentional or gross negligent violation which causes the violator to obtain ill gotten gain or causes damages to
not uniform, data are also often not readily available due to poor recording Common challenges Several actions that can be taken: ● Ensure data storage and management ● Focus to obtain primary data from
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
แฟ็งซ์ (66) 02-634-4114 Head Office: 88 PASO Tower, 18th Floor, Silom Road, Suriyawong, Bangrak, Bangkok 10500, Thailand Tel: (66) 02-634-2222 Fax: (66) 02-634-4114 โราาำนั : 55 ญมู 5 สวนัอุตสำญงรรม เอส
shall refer to the registration statement which has been filed together with the application for approval only; (3) obtain an explicit resolution from the company’s board of directors approving the
) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
business license shall obtain securities business license only when it has the following qualifications: (1) having paid up registered capital not less than the amount specified in the notification of the