rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s
operator shall prepare reports of financial status and operating performance on a monthly basis, and file them with the SEC Office within the fourteenth day of the following month; (2) the business operator
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
รองรับรับความเสี่ยงจากการเปลี่ยนแปลงของอัตราดอกเบี้ย (interest rate risk) ความเสี่ยงที่บริษัทอาจไม่สามารถป้องกันความเสี่ยงได้ทั้งหมด (basis risk) และความเสี่ยงจากการเปลี่ยนแปลงราคาล่วงหน้าของสินค้าที่เกิด
personnel with the firm’s list of clients and any related entities and inform them on a timely basis as to any changes in the firm’s clients and any related entities to which independence policies apply? a