continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private